Financial Services Need to Stay IT Compliant

SEC compliance requirements are about to change – does your financial services organization have a plan for the future?

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

Major Regulation Changes for RIAs are on the Way

Registered Investment Advisors (RIAs) are no strangers to compliance regulations. However, in the coming months and years, there are going to be major changes when it comes to cybersecurity and IT requirements. Although it isn’t clear just yet what the SEC will be including in the final rules, RIAs can’t wait until the night before it’s released to develop a strategy and there are already indicators of what will be needed. Tackling new IT and cybersecurity requirements sooner rather than later will not only keep you ahead of the competition and prevent last-minute scrambling, but it will also ensure your organization lowers the risk of cyberattacks. Take action now to avoid correction letters, deficiency letters, and financial penalties.

, Expert Registered Investment Advisor (RIA) Compliance Services
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Go Beyond Checking the Cybersecurity Boxes

When it comes to cybersecurity, compliance, IT, and your financial services firm, many CCOs are just checking the boxes and going through the motions. In that case, though, are you really protected? Our approach ensures that you’re meeting compliance requirements, working to mitigate risk, reducing the chances of a cyberattack, and keeping up with all regulatory changes. We know the technical side of compliance AND cybersecurity so you don’t have to.

Meet Compliance Requirements

We work with you to make sure your financial services organization is meeting IT and cybersecurity compliance requirements, even as new ones come online.

Test Your Policies

From data retention policies to incident response plans, we use exercises and tests to ensure your policies work in the event of an emergency.  This is an especially important piece and something regulators will often look for and find missing at any firms.

Reduce Risk

By doing more than just checking the boxes, your organization can actively work to reduce risk, keep cyber attackers at bay, and prevent breaches.

Steer Clear of Correction Letters

With an IT financial services strategy for the future, not just for today, we can help you steer clear of correction letters, fines, and more.

Start Financial Services Compliance Today

Meet With Us

Connect with us online so we can discuss the best options for your financial services organization.

Undergo a Risk Assessment

With a Risk Assessment, we work with you to develop a custom proposal that fits your unique needs.

Look to the Future

We’ll put the plan in place that will help you stay ahead of IT requirements and cybersecurity compliance.


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.


Microsoft Partner

Meet Compliance AND Technology Needs

It’s not one or the other – we work with your business to meet all of your needs when it comes to IT, from data retention to acceptable use and MFA to business continuity plans.

Don’t Put Your
Reputation at Risk

In the financial services sector, reputation is everything. If you receive a deficiency letter or a fine, you have to notify your clients, and a failed audit means more audits on the horizon. But by working with an IT company that understands your unique needs, you can meet these challenges head-on and ensure your reputation doesn’t take a hit.

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

Feel Confident


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.”

cyber security companies

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.