Carrie Fleisher
Carrie Fleisher Consulting, LLC

Services

Listen. Collaborate. Execute.

Areas of Service

 

Personal financial coaching & education for individuals and families

Identifying goals and developing a strategy to address the personal finance requirements to achieve these goals can be complex and overwhelming. We offer hope and a safe environment for individuals and families to learn and explore options to meet their most time critical budgeting needs now and in the future.

We provide the following:

  • One on one coaching and support in person, by phone, or by video conference

  • Understand your relationship with your finances

  • Document a zero balance budget giving every dollar a name

  • Identify current financial issues requiring immediate attention and provide options to address

  • Document your individual and family goals, i.e. college savings, purchase a car, eliminate debt, etc.

  • Personal financial education and coaching for teens and young adults

Our Mission:    To guide you through a process of personal finance coaching and education as you identify your goals, clarify your budget and execute the plan you develop with a focus on listening, encouragement and hope.

Carrie Fleisher Consulting LLC is not a debt consolidator or credit counselor. We are not financial advisors or financial planners and we do not provide advice or recommendations regarding how you should invest your money.

Carrie Fleisher completed Ramsey Solutions Financial Coach Master Training

 

 

management consulting and organizational talent & wellness

Complex problem solving is deeply rooted in our effective consulting partnerships.  Taking time to listen and understand the unique complexities of your business is how we analyze and provide pragmatic solutions to you. Clients engage us when they seek to overcome a business challenge.  We provide specialized support to walk alongside our clients to complement their expertise and talent.

Partnering with your organization provides a unique opportunity for us to help you identify the right talent to support your values, culture and business strategy.  We work with you to recruit talent through identification, acquisition and integration.

Effective talent works well individually and as part of a broader team.  Change is unavoidable in business and we all handle change differently.  The goal is to effectively execute change in a way that provides a positive impact to your organization, talent and clients.

We can help you:

  • Evaluate your business with a fresh perspective

  • Find solutions to complex problems while you focus on business growth

  • To provide executive and leadership coaching

  • Develop and articulate your business strategy

  • Analyze your business and suggest process improvements

  • Plan and implement projects

  • Test the effectiveness and accuracy of processes

  • Evaluate vendor relationships and their effectiveness

  • Evaluate and understand your talent needs

  • Design and update your organizational structure

  • Identify, acquire and integrate new talent

  • Work with existing talent to prepare and integrate change

  • Create professional and leadership development programs

  • Write organizational procedures and keep them current

  • Create training programs for your policies and procedures

financial services compliance & operations

The financial services industry continues to evolve and change at a rapid pace.  Staying current with the regulatory demands of the industry is an area where broker-dealers and their associated persons, as well as state and federal registered investment advisory firms and their access persons, benefit from specialized experience.

Our expertise in financial services operations, risk and compliance provides support in your compliance with regulatory requirements.  With a focused and rigorous approach we offer risk based programs designed specific to your business to ensure you and your team are prepared for a regulatory exam.

We provide the following:

  • Operational Process Review & Testing

  • Compliance Review & Testing

    • Home Office

    • Branch Office

  • SEC Annual 206(4)-7 Reviews

  • Anti-Money Laundering Audits - FINRA Rule 3310

  • Supervisory Controls Review & Testing - FINRA Rule 3120

  • Annual CEO Certification Review - FINRA Rule 3130

  • Mock FINRA and SEC Examinations

  • Draft written policies and procedures

  • Develop and provide staff training programs

    • Operations

    • Anti-Money Laundering

    • Annual Compliance Training

  • Errors & Omissions Insurance Evaluation

  • Client Complaint Review & Guidance

  • Broker-Dealer and RIA due diligence and transition project management and execution