Financial Services Compliance Program
Comprehensive compliance assessment and implementation program for financial institutions, covering SEC, FINRA, SOX, PCI-DSS, and banking regulations.
In scope
- SEC compliance review
- FINRA requirements assessment
- SOX controls evaluation
- PCI-DSS assessment
- Banking regulation analysis
- Risk assessment frameworks
You receive
- Detailed compliance gap analysis
- Control implementation roadmap
- Policy documentation suite
- Regulatory reporting templates
- Training program materials
- Audit preparation guide
Tiers
Choose the depth.
Core Financial Compliance Assessment
$55K
Gap assessment against up to 2 regulatory regimes for a firm of up to 250 employees and up to 3 offices. Control evaluation, risk assessment, gap analysis, control implementation roadmap and an audit preparation guide.
- frameworks
- 2
- employees
- 250
- Sites
- 3
- Gap assessment against up to 2 regimes (e.g. SEC and FINRA)
- Risk assessment using the firm's framework
- Compliance gap analysis
- Control implementation roadmap
- Audit preparation guide
- — Policy documentation suite
- — Regulatory reporting templates
- — Training materials
- — Hands-on control implementation
Advanced Financial Compliance Program
$95K
Comprehensive program including detailed control implementation, policy development, and audit preparation
- frameworks
- 4
- employees
- 1000
- Sites
- 10
- — Custom unified control framework
- — Recurring compliance validation
- — PCI DSS QSA assessment or SOX external audit
Enterprise Financial Compliance Solution
$150K
Full-scope financial compliance program with custom frameworks, automated monitoring, and continuous compliance validation
- frameworks
- 6
- employees
- 5000
- — PCI DSS QSA assessment or SOX external audit
- — Legal advice or representation before regulators
- — Licences for GRC or monitoring software
Members: engagement coupons from the CISO Marketplace coupon book apply to services. There is no blanket discount.
What's inside this engagement
Phase by phase.
How a readiness & governance assessment engagement runs, what happens in each phase and what you see. Exact scope, tier and timeline are fixed in your proposal and SOW.
01Scoping & framework selection
The standard or regulation, the systems and the business units in scope are fixed.
You see · Your audit or regulatory driver.
02Evidence collection & interviews
Policies, configurations and records reviewed; control owners interviewed.
You see · Documents and time with control owners.
03Gap analysis
Each requirement mapped to current state: met, partial or missing, with the evidence behind it.
You see · A clear gap register.
04Roadmap & evidence plan
Prioritized remediation with owners, and the evidence an auditor will ask for.
You see · A plan you can execute or hand to us.
Commercials
From first call to final report.
- 01
Scoping call
A practitioner, not a salesperson, walks through targets, constraints and what a good outcome looks like for you.
- 02
Proposal & rules of engagement
A fixed-scope proposal with tier, price and deliverables. Rules of engagement, contacts and out-of-bounds systems are agreed in writing.
- 03
Sign, then start
MSA and SOW are signed electronically and the deposit is paid. Only then does testing begin.
- 04
Execution
Testing runs to the agreed plan. Critical findings are escalated as they are found; you don't wait for the report.
- 05
Report & debrief
An executive summary plus technical findings with evidence, reproduction steps and fixes, walked through with your team.
- 06
Retest
Where the tier includes it, we verify your fixes and reissue the report, so auditors and customers see the issues closed.
Timelines are set per engagement in the SOW.
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Research
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