Regulatory scrutiny
FINRA, SEC, state insurance departments, and CFPB all publish overlapping expectations. Missing one control creates real exposure.
Industries
Financial Services IT
Audit-ready IT for advisors, insurance agencies, and lenders — aligned to FINRA, SEC, PCI-DSS, and SOC 2 expectations from day one.
Built Around How Your Financial Services IT Team Actually Works
Advisors, insurance agencies, and lenders operate under constant regulatory scrutiny. Our team designs environments that support FINRA, SEC, PCI-DSS, and SOC 2 expectations, layered with email security, MFA, encrypted communications, and continuous monitoring. Clients trust you with their financial lives — we help you protect that trust with resilient, audit-ready technology.
Business Outcomes
- Exam confidenceDocumentation, controls, and evidence are ready when regulators, custodians, or carriers ask.
- BEC risk reducedLayered email security, MFA, and staff training close the door on the most expensive attack in financial services.
- Trusted client experiencePortals, communications, and workflows feel modern and secure — reinforcing why clients chose you.
Challenges We Help You Solve
Business email compromise
Financial services is a top BEC target. A single compromised inbox can redirect a client wire in minutes.
Communications archiving
Email, chat, and social communications with clients often need to be archived and searchable — most firms only cover email.
Client data protection
Account numbers, SSNs, and portfolio data need encryption, access controls, and monitoring — not just "a good password."
Vendor & platform risk
Custodians, CRMs, planning tools, and portals all touch client data. Vendor due diligence has to be more than a checkbox.
Business continuity
Regulators expect a written, tested plan. Most firms have neither, and find out the wrong way.
What's Included
A focused set of services tuned to the workflows, tools, and compliance realities of your industry.
- FINRA / SEC / SOC 2 aligned control frameworks
- Advanced email security and BEC protection
- Encrypted communications and client portals
- MFA across custodians, CRM, and planning platforms
- Endpoint detection & response (EDR)
- Communications archiving and e-discovery support
- Written information security programs (WISP)
- Business continuity and disaster recovery testing
- Vendor risk assessments and BAAs
- Phishing simulations and staff awareness training
Compliance & Risk
Audit-Ready for FINRA, SEC, and Cyber Insurance
We build environments that stand up to regulator exams, custodian security reviews, and cyber insurance renewals — with the documentation and evidence to prove it.
- Written information security program
- MFA on all client-data systems
- Immutable, tested backups
- EDR & 24/7 monitoring
- Access reviews & offboarding
- Encrypted communications
- Vendor risk documentation
- Tested incident response plan
Let's Talk About Your Financial Services IT IT
Share where things stand today and what you'd like to change. We'll come back with a clear, honest plan built around your industry.