Financial Compliance — Tri-State Area

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.

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SEC, FINRA & NYDFS Part 500 expertise

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Audit-ready documentation

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Tri-State Area based

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100% U.S.-based team

Financial Compliance — Free Assessment

Free Compliance for Your Financial Services

No commitment. We respond within 1 business hour.

Regulatory Note: OCR fines and state AG investigations can follow a single patient complaint or breach notification. Compliance is not optional.

$35M

Largest recent FINRA cybersecurity fine

2024

SEC cybersecurity rule enforcement began

100%

Examiner-ready documentation

The Problem

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.

SEC examinations are escalating

The SEC's new cybersecurity rule requires registered firms to have documented programs, incident response plans, and disclosed material incidents — most firms aren't ready.

Written policies are missing or stale

FINRA examiners expect current, comprehensive written supervisory procedures. Outdated policies are a direct examination finding.

NYDFS Part 500 deadlines keep moving

New York's cybersecurity regulation continues to evolve with tighter requirements — covered entities need ongoing compliance management, not a one-time project.

Fines and enforcement are accelerating

SEC and FINRA enforcement actions for cybersecurity failures have surged. The cost of non-compliance now exceeds the cost of the program.

Compliance Services

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.

Written Information Security Program (WISP)

We build and maintain your firm's WISP — the documented cybersecurity program required by NYDFS Part 500, SEC rule, and FINRA best practices.

Annual Cybersecurity Risk Assessment

Documented risk assessments covering your technology environment, third-party vendors, and data flows — satisfying SEC, NYDFS, and FINRA requirements simultaneously.

Incident Response Plan

Examiner-ready incident response and breach notification procedures — tested, documented, and updated annually to meet evolving regulatory requirements.

NYDFS Part 500 Compliance Program

Ongoing management of your NYDFS cybersecurity program — annual certifications, penetration testing coordination, vulnerability management, and reporting.

Cybersecurity Training & Testing

Annual security awareness training and phishing simulations — documented and tracked to satisfy workforce training requirements under SEC and NYDFS rules.

Vendor & Third-Party Risk Management

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.

Frameworks We Cover

Regulatory Frameworks We Manage for You

Every framework relevant to financial services & investment firms — managed continuously, not addressed once and forgotten.

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FINRA

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FINRA

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NYDFS Part 500

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SOC 2

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PCI DSS

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.

What We Document

Use Cases We Cover for You

Real compliance deliverables — the specific programs, policies, and assessments your regulators require.

SEC cybersecurity program build-out

NYDFS Part 500 annual certification

FINRA examination preparation

Written supervisory procedures

Annual risk assessment

Incident response planning

Vendor due diligence

Cybersecurity training documentation

How It Works

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.

Free Gap Assessment

We assess your current compliance posture against SEC, FINRA & NYDFS Part 500 requirements — documenting gaps and quantifying risk at no cost.

Compliance Roadmap

A prioritized remediation plan — covering policy development, technical controls, and documentation — with clear timelines and ownership.

Build & Implement

We build your compliance program — drafting policies, implementing controls, training staff, and documenting everything your regulators will look for.

Ongoing Management

Continuous compliance monitoring, annual reassessments, policy updates, and audit support — so you stay compliant as regulations evolve.

Financial Compliance — Free Assessment Available

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.