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Security Modernization for a Regulated Financial Services Firm
How a regulated financial services firm closed security gaps in its legacy environment, cut alert noise and moved to an identity-first Zero Trust model.
Company Overview
Financial Services & Wealth Management
Withheld under NDA
Withheld under NDA
Phased program
Representative engagement. Client name, location, size and engagement details are withheld under NDA. Figures and specifics that a client could recognize have been removed.
This firm operates under SEC and FINRA oversight and holds sensitive client and investor data. As it expanded its digital services, its legacy infrastructure became harder to secure and harder to evidence to examiners, and leadership wanted an independent view of its exposure along with a plan to fix it without disrupting daily operations.
Legacy Infrastructure Under Regulatory Scrutiny
The firm's security tools produced a high volume of alerts, most of them noise, and the internal team spent more time triaging than improving. Compliance reporting was manual and hard to keep current.
Network Blind Spots
Older architecture made it difficult to see how data moved or how an attacker could move between systems.
Regulatory Exposure
Manual compliance reporting made it hard to show examiners and auditors a current, accurate picture of controls.
Alert Fatigue
Disconnected tools generated alerts the team could not act on, which hid the ones that mattered.
Growth Constraints
Legacy systems slowed new services and made it harder to bring acquired businesses onto the network safely.
Assess, Prioritize, Fix
We started with an independent assessment of the environment, ranked findings by business impact, and then worked through remediation with the firm's team.
Independent Assessment
We reviewed identity, email, cloud and network configuration to find the exposures most likely to lead to loss.
Zero Trust Access
We redesigned access around verified identity, separated sensitive data and tightened privileged access to limit lateral movement.
Continuous Compliance Monitoring
We replaced manual reporting with ongoing control monitoring mapped to SEC, FINRA and SOC 2 requirements.
Ongoing Monitoring and Response
The hardened environment moved to 24/7 monitoring, investigation and response.
A Clearer, Defensible Security Posture
Leadership gained a current, evidence-backed view of its controls and a security program that its team could run.
Examination Readiness
Control evidence is now current and organized, so the firm can answer examiner and auditor requests with less scramble.
Less Noise
Consolidated monitoring cut low-value alerts, so the team can focus on activity that matters.
No Business Disruption
Remediation was sequenced around trading days and client-facing systems.
Risk the Board Can See
Leadership received a plain-language view of remaining risk and the plan to address it.
Explore Related Engagements
More representative engagements across due diligence, assessment and remediation. Client details are withheld under NDA.
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