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Financial Industry IT Specialists
SEC · FINRA · SOC 2 · State Regulators
Why Financial Services Choose
Iron Core
Your clients trust you with their financial futures. A single breach can trigger SEC investigations, FINRA enforcement actions, and class-action lawsuits. Iron Core delivers managed IT, cybersecurity, and compliance services built for financial advisors, wealth managers, CPAs, and broker-dealers.
Industry Risk
Financial services firms face the most sophisticated cyber threats — from business email compromise targeting wire transfers to nation-state actors seeking trading data. Regulators now treat cybersecurity as a fiduciary obligation.
What We Deliver
SEC/FINRA Cybersecurity Compliance: Implementation of SEC Regulation S-P, FINRA cybersecurity guidance, and state-specific requirements. Controls that satisfy examiners, not just check boxes.
Secure Client Data Protection: Encryption at rest and in transit, DLP policies, access controls, and audit logging for all client financial data. Protect portfolios, tax records, and PII.
Email Security & BEC Prevention: Advanced email filtering, DMARC/DKIM/SPF enforcement, and AI-powered BEC detection. Wire transfer fraud is the #1 financial cybercrime — we stop it.
Vendor Risk Management: Due diligence on your technology vendors, custodians, and third-party platforms. Document vendor risks before regulators ask about them.
Incident Response Planning: Written incident response plans that meet SEC/FINRA requirements. Tabletop exercises, communication templates, and regulatory notification procedures.
Compliant Archiving & Retention: SEC-compliant email archiving, document retention policies, and Books & Records requirements. Defensible deletion and litigation hold capabilities.