Sensible Financial, a fiduciary wealth management firm, faced challenges in meeting stringent FINRA compliance requirements while supporting a growing team of advisors. They required an IT partner to secure client data, streamline documentation, and enhance daily operations.
Establish a secure, auditable technology environment that aligns with FINRA expectations, mitigates risk exposure, and supports a modern, remote-friendly workflow.
SWFIT implemented a compliance-focused technology stack to provide Sensible Financial with the necessary security, performance, and visibility.
Centralized identity and data security with conditional access, MFA, and DLP policies.
Enabled full disk encryption (BitLocker) and threat detection on all devices.
Implemented backups with long-term retention for regulatory compliance.
Delivered a formal WISP and SOPs to satisfy FINRA documentation needs.
Provided responsive support and structured onboarding/offboarding for advisors.
BMIT took us from a vulnerable, outdated setup to a secure and fully compliant environment. Their team understands the financial services world and built us a foundation that will scale with confidence.
– Nancy
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