FinancialServicesIT&ComplianceinNewYorkCity

We implement and document the administrative, technical, and physical safeguards Reg S-P requires: access controls, encryption at rest and in transit, vendor due diligence, and the incident response program the 2024 amendments make explicit. We maintain the written policies and the evidence trail examiners request.

We operationalize your Identity Theft Prevention Program: red-flag detection in your account-opening and maintenance workflows, alerting on the indicators the SEC has flagged in recent enforcement actions, and annual program review with board-ready reporting.

Our supervisory review tooling captures every in-scope channel, routes alerts to designated principals with full audit trail, and generates the annual 3120 report. We tune lexicons to your business lines so your supervisors are reviewing real risk, not noise.

We deploy WORM-compliant storage with the non-rewriteable, non-erasable attestation examiners demand, manage retention schedules by record class, and maintain the third-party downloader designation letter that keeps you in compliance if our relationship ever ends.

Techvera is SOC 2 Type II attested (TODO(verify-stat): confirm current attestation date + report scope before publishing). We also help firms prepare for their own SOC 2 by mapping existing controls, closing gaps, and shepherding you through auditor fieldwork.

We maintain a data inventory keyed to client residency and regulatory geography, route breach notifications to the correct state attorneys general within statutory windows, and keep your privacy notices current as states continue to pass new laws.

We operate the full Part 500 program end to end: risk-based cybersecurity program design, written policies, access controls and MFA, vulnerability management, incident response, third-party service-provider oversight, and the annual CISO report to the board. We file the 500.17(a) notifications within the 72-hour window and maintain the audit trail the DFS Cybersecurity Division reviews on exam.

We implement the administrative, technical, and physical safeguards the SHIELD Act requires, maintain the New York-resident data inventory, and keep breach-notification templates pre-drafted to meet statutory timing. Our program is calibrated so SHIELD compliance is a byproduct of the broader cybersecurity operation, not a separate workstream.

We calibrate e-communications supervision to the enforcement themes District 10 has actually pursued: off-channel capture at the endpoint, lexicon tuning to active business lines, and timely supervisory review with full audit trail. We also run pre-exam walkthroughs to identify gaps before examiners do.

For insurance-affiliated financial firms we maintain the record-retention and disclosure evidence these regulations require, integrated with the broader Part 500 cybersecurity program so a single audit trail satisfies both sets of examiners.