IT Support for Financial Services SEC. FINRA. Reg S-P. GLB.
BEC Protected. Client Data Secured.

Our IT support for financial services firms includes SEC, FINRA, Reg S-P, and GLB Act compliance program development and maintenance; BEC and wire fraud protection (DMARC/DKIM/SPF, advanced email security, MFA on financial systems); client financial data protection and access controls; email archiving and books-and-records compliance configuration; 24/7 NOC and SOC monitoring; endpoint security and EDR; financial platform support and connectivity; backup and disaster recovery; and on-site support across NJ, NY & CT — all under one flat monthly rate per user with no per-ticket charges.

Gradius addresses the primary regulatory frameworks applicable to financial services firms in NJ, NY & CT. For SEC-registered investment advisors: Regulation S-P (safeguards for client information), the SEC's 2023 cybersecurity disclosure rules (incident reporting, annual review, Form ADV disclosure), and related examination guidance. For FINRA-registered broker-dealers: FINRA Rule 4370 (business continuity planning), FINRA cybersecurity guidance, and supervision requirements for electronic communications. For all financial firms handling consumer data: the Gramm-Leach-Bliley Act Safeguards Rule. For New York-licensed financial entities: NY DFS Part 500. The specific applicable frameworks depend on your firm's registration and licensing — Gradius identifies and addresses all that apply.

Yes. Gradius serves the full spectrum of financial services firms — registered investment advisors (RIAs) and wealth management practices, independent broker-dealer registered representatives and firms, financial planning and CFP practices, mortgage companies and independent mortgage brokers, consumer lending companies, factoring companies, financial advisory and consulting firms, tax preparation practices, bookkeeping and accounting services firms, payroll processing companies, and family offices. Each has specific regulatory requirements and operational technology needs that Gradius builds IT programs around.

Extremely serious. The FBI's Internet Crime Complaint Center (IC3) consistently reports business email compromise as the highest-dollar cybercrime category, with financial services firms among the most targeted because their client relationships involve large wire transactions and a high degree of trust. Attackers specifically target financial advisors, mortgage originators, and financial planners because the combination of trusted relationships, regular wire activity, and clients who may not question instructions from their financial professional creates ideal BEC conditions. A single successful attack can redirect a wire of six or seven figures, trigger regulatory reporting obligations, and create significant reputational damage. Gradius implements the layered defenses specifically designed to address the financial services BEC attack chain.

Most financial services firms are fully onboarded within 1–2 weeks. The onboarding includes a regulatory compliance assessment (identifying applicable frameworks and current compliance gaps), BEC vulnerability assessment, client data security audit, email archiving configuration, deployment of monitoring and security agents, and a meeting with firm principals — without disrupting active client service or trading activity. For firms with pressing compliance timelines — an approaching SEC or FINRA examination, an annual review deadline — we prioritize the compliance assessment and documentation on an accelerated schedule.

No long-term lock-ins. We offer month-to-month and annual agreements — your choice. Financial services firms stay with Gradius because regulatory compliance programs are maintained without requiring firm principals to become cybersecurity specialists, BEC defenses are in place, client data is protected, and IT stops being a source of regulatory and reputational risk. We earn the renewal every month through performance.