Data Security Architecture
Move beyond compliance checklists and implement true zero-trust security for client wealth data.
Wealth management firms are prime targets for cyberattacks. The data you hold—social security numbers, account balances, wire transfer authorizations—is highly lucrative. Relying on basic passwords and vendor promises is no longer acceptable under modern SEC scrutiny.
Zero-Trust Implementation
We design and oversee the implementation of Zero-Trust architectures tailored for the RIA tech stack. This means assuming the network is hostile and verifying every access request, regardless of where it originates.
- Identity & Access Management (IAM): Centralizing authentication through an IdP (Identity Provider) with enforced, hardware-backed MFA (e.g., FIDO2 keys).
- Principle of Least Privilege: Auditing user roles across your SaaS applications to ensure advisors and staff only have access to the data required for their job function.
- Client Portal Hardening: Securing the primary interface between clients and their data, including secure document exchange and communication channels that resist phishing.
SEC Cyber-Rule Readiness
The SEC has finalized strict rules regarding cybersecurity risk management, strategy, governance, and incident disclosure. We help you translate these legal requirements into concrete technical policies and configurations.
Vendor Risk Management
We evaluate the security posture of your third-party vendors, reviewing their SOC 2 Type II reports and assessing their API security practices.
Incident Response Planning
We develop the technical procedures for identifying, containing, and recovering from a breach, aligning with SEC disclosure timelines.