Financial IT
Compliance-grade IT for financial services.
Wealth managers, RIAs, broker-dealers, and accounting firms, get SEC, FINRA, and IRS-ready IT with documented controls, immutable evidence trails, and audit-friendly reporting.
What we focus on
Built for regulated finance.
Six disciplines that match the regulator’s expectations and the trading-day’s pace.
Regulatory readiness
SEC OCIE, FINRA Rule 4511, GLBA Safeguards Rule, and SOX evidence collection and audit-cycle support.
Trading platform support
Bloomberg, Refinitiv Eikon, FactSet, and custodian connectivity (Schwab, Fidelity, Pershing), including post-trade reconciliation.
Data protection
Encryption at rest and in transit, immutable backups, geographically separated copies, and documented DR run-books.
Email archiving
7-year FINRA-compliant archiving with WORM storage, supervised review workflows, and same-day eDiscovery.
Insider-threat monitoring
DLP for material non-public information, anomalous-access detection, and pre-departure asset reviews.
Trading-day SLAs
Pre-market and intraday support coverage, because a 30-minute outage during trading hours is not an outage you negotiate.
Frameworks we work in
Speak the language your regulator does.
Our compliance team includes former SEC examiners and a NASBA-credentialed CISA, so when the regulator asks for evidence, we know what they actually want to see.
- SEC Rule 17a-4, WORM email retention with sequenced indexing
- FINRA Rule 4511, supervisory review workflows
- GLBA Safeguards Rule, 314.4 controls and IRP
- SOX 404, IT general controls + change management evidence
- NY DFS Part 500, CISO designation support + 72-hour reporting
- NIST 800-171, for DoD-adjacent advisory work