A financial services firm runs on systems that are watched by regulators and trusted by clients. The portfolio platforms have to be available; the audit logs have to be retained for the period the regulator requires; the client data has to stay protected at a level that satisfies an examination.

Most of that work is the same kind of IT work any professional services firm needs, with a documentation discipline layered on top so the records are ready when they are asked for. Our financial services IT engagements are informed by the cybersecurity guidance the Financial Industry Regulatory Authority publishes for member firms.

Why financial services IT is different

Examination obligations are concrete and recurring. The records the examiner asks for need to already exist in a usable form, not be reconstructed in a panic the week before the visit.

Client data sensitivity is the central issue. Multi-factor authentication, conditional access, encryption, and access reviews are not optional, and the configuration has to be auditable.

Portfolio platforms, custodial systems, and trading tools have specific reliability and integration requirements. When one of them is unavailable, advisors cannot serve clients in real time.

Recordkeeping and retention obligations vary by regulator. Audit log retention windows, email archiving, and document retention all need to match the framework the firm lives under.

What we provide

• Client data controls, documented for regulators.
• Audit log retention and recordkeeping.
• Portfolio and custodial platform support.
• Examination preparation as a default.

How we approach financial services IT

Built for examination season, not against it. The first examination after onboarding is the test; we want the answer to be easy.

Retention is configured to your specific obligation. We will not give you a generic seven-year retention because it sounds reasonable; we configure to the actual obligation.