Cybersecurity for financial services.
Where the regulator is part of the threat model. We work with banks, credit unions, RIAs, broker-dealers, and asset managers — across SEC, FFIEC, OCC, and state-financial-regulator expectations.
- Sector
- Banking · RIA · BD
- Regulators
- SEC · FFIEC · OCC · NYDFS
- Common engagement
- vCISO + MDR
- Audit posture
- Continuous
Threats we routinely see in this sector
Wire-fraud + BEC
Sophisticated business-email-compromise targeting wire instructions, often coordinated with vendor or counterparty pretext.
Account-takeover at customers
Credential-stuffing and SIM-swap attacks targeting retail or corporate customer accounts.
Regulatory exam preparation
Findings-driven remediation under exam pressure — common in NYDFS, FFIEC, and SEC OCIE cycles.
Third-party / fintech-partner risk
Concentration risk in vendor relationships and embedded-finance partnerships.
Insider data exfiltration
Material-non-public information, customer lists, model code — high-value, low-attribution targets.
How we typically engage
- 01Start
Risk assessment
Calibrated against your regulator and exam history.
- 02Quarter 1
Quick-win remediation
Wire-fraud controls, customer-MFA hardening, vendor due-diligence updates.
- 03Quarter 2+
MDR + vCISO retainer
Continuous monitoring + senior governance for exam readiness.
What clients in this sector walk away with
- Wire-fraud + BEC controls hardened
- Customer-MFA program operational
- Regulator-exam posture documented
- Third-party concentration risk surfaced and mitigated
- Audit-evidence for FFIEC, NYDFS, SEC OCIE
- Defensible board-level cyber narrative