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For Financial Services

IT that holds up to your auditors.

We run technology operations for RIAs, broker-dealers, fund managers, and finance teams whose every endpoint, identity, and access record may end up in front of a regulator.

  • SEC Rule 30 / NYDFS Part 500 / FINRA's Cybersecurity Checklist all want different artifacts. Your IT vendor should already be collecting them.
  • Clients ask 'do you have an information-security program?' and you need a documented yes — fast — without losing the deal.
  • Identity is the attack surface. Phishing, account takeover, insider threats — your MFA, conditional access, and EDR have to be enforced and evidenced.
  • Auditor questionnaires arrive quarterly; the answers should already exist, not be assembled from scratch each time.
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SEC + FINRA + NYDFS Compliance-aware by default

Why finance teams work with us

A wealth-management firm’s IT posture is a regulatory question first and an operational question second. Most MSPs build for the second order and are surprised when the first arrives. We build for both.

Our financial-services clients include single-advisor RIAs running on five laptops, multi-state broker-dealers under both SEC and state regulator scrutiny, and fund-administration teams whose investor reporting flows through systems with strict access-control requirements. The patterns repeat: identity is the attack surface; evidence is the audit currency; documented controls beat heroic email threads.

What’s included for finance firms

The 360SmartIT base — managed devices, EDR, patching, support — combined with the components that meet financial-services regulatory expectations:

  • Cyber Essentials — annual cybersecurity awareness training (NYDFS Part 500.14 requirement) automated and tracked, simulated phishing matching the threat patterns finance firms see, dark-web monitoring with named-account alerting.
  • M365 Management — Conditional Access enforcing US-only access for non-traveling staff, Sensitivity Labels and DLP for outbound investor communication, MFA enforcement with FIDO2 keys for senior accounts.
  • Backup & Protect — point-in-time backup of advisor email, document-store backup with WORM-equivalent retention, restoration drills documented for the auditor.
  • Compliance Hub — quarterly evidence package with control mapping for SEC Rule 30, NYDFS Part 500, FINRA Cybersecurity Checklist; signed attestation library for client and counterparty due diligence.
  • Priority Support — 15-minute SLA on critical issues, named technical lead, quarterly business review with your CCO present.

Built around your CCO, not in spite of them

Most of our financial-services engagements include a working relationship with the firm’s Chief Compliance Officer. The artifacts we produce — endpoint inventories, access-control reports, training-completion records, change logs — feed directly into the CCO’s compliance program. Less reverse-engineering at audit time. Less negotiating with the firm’s IT vendor over what they can produce.

Audit-ready isn’t a sprint

The firms that pass cybersecurity exams cleanly aren’t the ones that did a frantic 90-day cleanup before the SEC came in. They’re the ones whose IT vendor has been quietly producing the evidence all along. That’s the standard we work to.

What's included

A purpose-fit stack for Financial Services.

These are the services we configure by default for Financial Services clients. Add or remove any of them in the build flow.

  • 360SmartIT Endpoint Management

    Complete endpoint management — RMM, EDR, monitoring, patching, support. The base of every plan.

  • Cyber Essentials

    Phishing simulation, security awareness training, dark-web monitoring, password manager.

  • M365 Management

    Microsoft 365 license management, conditional access, MFA enforcement, mailbox protection.

  • Backup & Protect

    Endpoint backup + cloud-app backup (M365/Google Workspace) with point-in-time recovery.

  • Compliance Hub

    SOC 2, HIPAA, or PCI evidence collection + control monitoring. Quarterly audit-ready report.

  • Priority Support

    15-minute SLA on critical, named technical lead, quarterly business review.

Build a Financial Services IT department.

The configurator pre-selects the services we recommend for your industry. Override anything that doesn't fit.

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