Who We Are

A Trusted team of compliance experts.

We specialize in providing the essential skills and expertise required to establish, improve, and maintain effective compliance and operational risk management programs. Our goal is to assist organizations in demonstrating their commitment to a robust risk management culture. We take a tailored approach to help clients succeed in today's challenging regulatory and economic landscape, allowing them to effectively manage the expenses associated with compliance while maintaining the necessary infrastructure and control environment.

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Why Us

Unique blend of Expertise and Experience.

In an era of unprecedented regulatory scrutiny, financial institutions are facing an uphill battle in navigating the complex landscape of compliance. It has become imperative for them to adopt a fresh approach, one that allows them to seamlessly integrate regulatory requirements into their operational fabric while simultaneously enhancing their risk management processes.

We recognize that the key to success in this environment lies in translating the often overwhelming regulatory noise into practical, action-oriented strategies that drive meaningful results.

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Cost-Effective

Our approach is designed to deliver maximum value without unnecessary expenses. By leveraging our deep industry expertise and understanding of regulatory intricacies, we help clients identify cost-efficient compliance solutions tailored to their specific needs.

Comprehensive Offerings

We provide financial institutions with a one-stop solution for all their compliance needs. We understand that compliance is a multifaceted challenge, encompassing various regulations and requirements.

Full Team of Resources

We have access to a full team of seasoned professionals with diverse skill sets and extensive industry knowledge. This resource pool includes experts in compliance, risk management, cyber security, legal matters, and capital markets.

Who we serve

Dedicated and Trusted partner

Mark Paverman has been a dedicated partner to Broker-Dealers and Registered Investment Advisers for more than four decades. Our comprehensive services span from outsourced FinOp and CCO roles to cybersecurity compliance consulting, ensuring strong financial accounting and regulatory compliance support throughout the years.

We partner with a wide array of financial services companies at all stages of growth.

Years delivering Compliance Solutions

20+

Learn how we can help YOU!

We help new or existing

BROKER
DEALERS

Starting A Broker Dealer? We Can Help!

Small, Large or New

INVESTMENT
MANAGEMENT
CLIENTS

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Testimonials

Hear it from our clients

We've been partnering with JSM Advisors for over two decades, and their expertise in regulatory compliance has been invaluable to our brokerage firm. Their team consistently ensures that we meet all necessary regulations and standards, allowing us to focus on our core business. JSM Advisors is not just a service provider; they are an integral part of our success.

Brokerage Firm

As a Registered Investment Advisor, compliance is paramount in our industry. JSM Advisors has been our trusted compliance partner for the last 15 years, and their services have been exceptional. Their knowledgeable team and personalized approach have made navigating the complex regulatory landscape a breeze. We highly recommend JSM Advisors to any RIA looking for top-tier compliance solutions.

Wealth Management Firm

JSM Advisors has been instrumental in our broker-dealer's success. Their regulatory compliance services are comprehensive and tailored to our specific needs. From membership registration to ongoing oversight of our books and records, they've consistently exceeded our expectations. Their experienced team has saved us both time and money while ensuring we remain fully compliant.

Horizon Capital Brokers

As a smaller broker-dealer, we were concerned about the cost and complexity of maintaining compliance. JSM Advisors came to our rescue. Their cost-effective solutions and outsourced Chief Compliance Officer (CCO) services have allowed us to meet all regulatory requirements without the burden of hiring and training in-house staff. JSM Advisors is a true partner in our growth.

Summit Securities

I can't express enough how valuable JSM Advisors has been to our firm. For four decades, they've consistently demonstrated their expertise and commitment to our compliance needs. Their proactive approach to regulatory changes and their quick response to our inquiries have made them an indispensable part of our Registered Investment Advisor practice. We're proud to have JSM Advisors on our team.

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