Industry Overview

Financial Services Requires Precision Security and Compliance

Financial services firms — wealth management advisors, broker-dealers, insurance companies, accounting firms, and fintech companies — operate in one of the most heavily regulated and heavily targeted industries in the world. Regulatory requirements from the SEC, FINRA, GLBA, and state financial regulators demand documented security programs, regular risk assessments, and incident response capabilities. Meanwhile, cybercriminals specifically target financial firms for the direct financial gain and high-value client data they hold.

Synobis delivers IT and cybersecurity programs designed for the financial services environment — combining deep regulatory knowledge with enterprise security capabilities. We help financial firms achieve and maintain compliance, protect client assets and data, and respond effectively when incidents occur.

Industry Challenges

What Your Industry Faces

SEC Regulation S-P and S-ID compliance — customer data protection and identity theft prevention

FINRA cybersecurity requirements for broker-dealers and investment advisors

Gramm-Leach-Bliley Act (GLBA) Safeguards Rule — information security program requirements

Ransomware and business email compromise targeting financial transactions

Insider threat risk — privileged access to financial systems and client data

Third-party vendor risk management for financial technology providers

Business continuity requirements — financial systems cannot tolerate extended downtime

Cyber insurance requirements — increasingly demanding for financial firms

How We Help

Synobis Solutions for Your Industry

GLBA & SEC Compliance

Information security programs aligned to GLBA Safeguards Rule, SEC Regulation S-P, and FINRA cybersecurity requirements — with documented risk assessments and audit trails.

Financial Cybersecurity

Layered security controls protecting financial systems and client data — including email security, endpoint protection, network monitoring, and 24/7 SOC.

Privileged Access Management

Zero-trust identity controls and privileged access management for financial systems — ensuring minimum necessary access and full audit trails.

Fraud & Threat Detection

Behavioral analytics and transaction monitoring that detect anomalous activity indicative of fraud, insider threats, or account compromise.

Risk Assessment & Reporting

Annual information security risk assessments with board-ready reporting — satisfying regulatory requirements and providing executive visibility into security posture.

Compliant Cloud Infrastructure

Cloud infrastructure and Microsoft 365 configurations that satisfy financial services regulatory requirements — with appropriate data residency and retention controls.

Regulatory Compliance

Financial Services Compliance Frameworks We Support

Gramm-Leach-Bliley Act (GLBA) Safeguards Rule — information security program requirements
SEC Regulation S-P — customer financial data protection for investment advisors and broker-dealers
FINRA cybersecurity guidance — for registered broker-dealers and investment advisors
NY DFS Cybersecurity Regulation (23 NYCRR 500) — for NY-licensed financial institutions
SOC 2 Type II — for fintech and financial technology companies
Cyber insurance requirements — documented controls for financial services organizations

Schedule a Compliance Assessment

Our team will assess your current compliance posture and identify the specific gaps and priorities for your organization.

Request an Assessment

Ready to Discuss Your Needs?

Contact our team for a free consultation tailored to your industry's specific IT and security requirements.

IT & Cybersecurity for Financial Services