Case study · Financial services
Sensible Financial, a fiduciary wealth management firm, was one FINRA examination away from serious trouble. SWFIT rebuilt their IT around compliance in 30 days.
30days
from audit risk to a compliant environment
6years
of record retention met with encrypted backup
1hour
to revoke access when an advisor leaves
Client
Sensible Financial
Industry
Financial services
Timeline
30 days
What we delivered
Microsoft 365 Business Premium, encryption and Defender, encrypted backup, WISP, help desk
The situation
Stand up a secure, FINRA-aligned IT environment within 30 days: encrypted communications, audit-ready documentation, endpoint protection, and a formal Written Information Security Plan.
What we did
01
Centralized identity with conditional access, MFA enforced on every account, and data loss prevention for sensitive financial data.
02
Full-disk BitLocker on every device and Microsoft Defender for Business with automated threat detection and response.
03
Encrypted cloud backups with long-term retention to meet FINRA’s six-year record retention requirement. Tested quarterly.
04
A formal WISP and SOPs covering access control, incident response, and data handling: the documents examiners actually ask for.
05
New advisors get a pre-configured laptop. Departing advisors lose access within the hour.
The results
“SWFIT took us from a vulnerable, outdated setup to a secure and fully compliant environment. Their team understands financial services and built exactly what we needed for FINRA. We sleep better at night.”
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