# Financial Services Compliance Program

> From $55K · Compliance & GRC · https://cisomarketplace.services/services/financial-services-compliance

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

## Deliverables

- Detailed compliance gap analysis
- Control implementation roadmap
- Policy documentation suite
- Regulatory reporting templates
- Training program materials
- Audit preparation guide

## Tiers

### 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.

Limits: frameworks 2, employees 250, locations 3

Includes:
- 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

Excludes:
- 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

Limits: frameworks 4, employees 1000, locations 10

Excludes:
- 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

Limits: frameworks 6, employees 5000

Excludes:
- PCI DSS QSA assessment or SOX external audit
- Legal advice or representation before regulators
- Licences for GRC or monitoring software

## Terms

Starting price shown is the lowest published tier. A written proposal fixes scope, tier and price before anything is signed. Timeline is set in the SOW.

Scope this engagement: https://cisomarketplace.services/scope?service=financial-services-compliance