Risk Management & Compliance
for Registered Investment Advisors

A specialized, turnkey, risk management and cybersecurity compliance program for RIAs.

IT Consulting Phoenix

Compliance can be overwhelming

IT Expert

Ensure compliance without having to be an expert

IT Management

Provide compliance for anything technology related for advisors

Cyber Security Companies

Have confidence in your compliance and cybersecurity programs

Compliance is Just One Part of Your Job

Avoid having to figure out RIA risk and cybersecurity compliance yourself

Avoid the reputation damaging and disastrous financial impacts of cybersecurity breaches on your business.

Avoid working with an IT vendor that doesn’t specialize in cybersecurity and compliance for RIAs

Avoid failing OCIE audits which come with significant fines and having to disclose breaches to customers

THE itSYNERGY ADVANTAGE:

A TURNKEY CYBERSECURITY SOLUTION
FOR RIAS

Specialized solution for risk management and cybersecurity for RIAs

Certified Ethical Hacker and Investment Advisor Certified Compliance Professional (IACCP®) — a rare combination

True cybersecurity experts with deep subject matter expertise in cybersecurity and how it relates to compliance requirements

THE itSYNERGY FINSERV COMPLIANCE SUITE

The platform was built by cybersecurity and compliance experts. The platform not only audits your environment, but also implements a continuous 24/7/365 solution, actively protecting your firm from cybersecurity attacks.
NLST Complimant

Cybersecurity Audit

The Platform Ensures

  • Your firm has a significantly enhanced cybersecurity posture
  • Compliance and documentation to prove you are doing what your documentation says you are doing.
  • Easily track change history, notes, discussions, and who was involved.

So That You Can

  • Provide compliance for anything technology related for advisors
  • Maintain SEC compliance and have peace of mind during regular audits.
  • Prove that your firm is continually improving.

CERTIFICATION

IACCP
CEH
Microsoft Partner

Three Easy Steps to Get Started

Let Us Be Your Guide

It’s easy to connect with us. Ensuring a smooth transition is what we do best.

Receive A Risk Assessment & Custom Proposal

COMMENTS ABOUT THE itSYNERGY COMPLIANCE SUITE

There are compliance focused firms with former SEC staffers on the payroll that understand compliance. There are IT companies that understand cybersecurity. Finding deep expertise in both with a single company is very rare.”

Certified Ethical Hacker on the cybersecurity side and Investment Adviser Certified Compliance Professional on the compliance side is one of a kind.

RIAs know how to manage money – they don’t have the time to figure out the complexity of cybersecurity which is a black box to RIAs. itSynergy translates complex concepts into simple risk tolerance decisions that any business owner can understand and make.”

With the itSynergy Compliance Suite, I am ready for an OCIE auditor to walk in the door at any moment. All I need to do is point them to my custom compliance portal and that contains everything they need and everything is always up to date.”

itSynergy set us up with our own custom compliance portal housed in Microsoft SharePoint. That gives me a single centralized location for all compliance documentation with robust version control I can use to demonstrate to OCIE auditors that I am reviewing and updating our compliance program regularly.”

Want to Learn More?

Learn the 7 Areas to Make Sure Your Firm is Cybersecure

All RIAs, no matter the size, run the risk of disruptive ransomware attacks, data and intellectual property theft, damage or abuse by disgruntled employees, or financial fraud.