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Compliance Audits

Financial Regulatory Compliance

Financial Regulatory Compliance

Financial service firms possess a treasure trove of highly sensitive and valuable data on employees and clients. Your organization can be subject to a wide range of regulatory compliance standards to include:

  • Graham-Leach-Bliley Act (GLB)
  • Securities and Exchange Commission (SEC) cyber security guidelines
  • Financial Industry Regulatory Authority (FINRA)
  • Sarbanes-Oxley.

Several of these standards contain security compliance requirements that impose some type of IT assessment/audit. COMPASS works with financial institutions to develop an assessment framework tailored to these specific compliance requirements. Our security engineers and policy analysts use these standards to identify vulnerabilities and policies/procedures that should be addressed and assist in building a roadmap to achieve compliance.

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