📈 Compliancefor Financial Services
SEC, FINRA, and NYDFS Part 500 compliance management for RIAs, broker-dealers, and financial firms — cybersecurity programs, written policies, and examiner-ready documentation.
for Your Financial Services
Why Financial Services Can't
Afford to Ignore Compliance
Regulatory requirements for financial services & investment firms are not suggestions — they carry financial penalties, license risk, and client liability. Here's what's at stake.
What Gradius Compliance
as a Service Delivers
Ongoing, managed compliance — not a one-time report that collects dust. We build, implement, and maintain the programs your regulators require.
We build and maintain your firm's WISP — the documented cybersecurity program required by NYDFS Part 500, SEC rule, and FINRA best practices.
Documented risk assessments covering your technology environment, third-party vendors, and data flows — satisfying SEC, NYDFS, and FINRA requirements simultaneously.
Examiner-ready incident response and breach notification procedures — tested, documented, and updated annually to meet evolving regulatory requirements.
Ongoing management of your NYDFS cybersecurity program — annual certifications, penetration testing coordination, vulnerability management, and reporting.
Annual security awareness training and phishing simulations — documented and tracked to satisfy workforce training requirements under SEC and NYDFS rules.
Due diligence on technology vendors, custodians, and service providers — with documented assessments and contractual security requirements satisfying regulatory expectations.
Find Out Where You
Stand — Free
We assess your current compliance posture against SEC, FINRA & NYDFS Part 500 requirements — identifying gaps, quantifying risk, and showing you exactly what a managed compliance program would cover. No jargon, no obligation.
Regulatory Frameworks
We Manage for You
Every framework relevant to financial services & investment firms — managed continuously, not addressed once and forgotten.
Compliance as a Service means ongoing management — not a point-in-time assessment that expires. We keep your program current as regulations evolve and your business changes.
Use Cases We
Cover for You
Real compliance deliverables — the specific programs, policies, and assessments your regulators require.
From Gap Assessment to
Fully Managed Compliance
A structured process that gets your Financial Services compliance program built, implemented, and running — typically within 30–60 days.
Stop Hoping
You're Compliant
Know You Are
SEC, FINRA & NYDFS Part 500 compliance isn't optional — and it isn't a project you complete once. Gradius manages your compliance program continuously so auditors, regulators, and clients find everything they need, every time they ask for it.
