Sensible Financial, a fiduciary wealth management firm, was running on an outdated IT setup that couldn’t pass a compliance audit. No MFA, no encryption, no formal security policies. One FINRA examination away from serious trouble. They needed a complete rebuild — fast.
Stand up a secure, FINRA-compliant IT environment within 30 days — encrypted communications, audit-ready documentation, endpoint protection, and a formal Written Information Security Plan.
We didn’t just patch holes. We rebuilt their IT from the ground up around compliance requirements.
Centralized identity management with conditional access policies, enforced MFA on every account, and deployed Data Loss Prevention rules to prevent sensitive financial data from leaving the organization.
Full-disk BitLocker encryption on every device. Microsoft Defender for Business deployed across all endpoints with automated threat detection and response.
Implemented encrypted cloud backups with long-term retention to meet FINRA’s 6-year record retention requirements. Tested quarterly.
Delivered a formal WISP and standard operating procedures covering access control, incident response, and data handling — the documents FINRA examiners actually ask for.
Structured onboarding and offboarding procedures for financial advisors. New hire? Laptop arrives pre-configured. Advisor leaves? Access revoked within the hour.
“SWFIT took us from a vulnerable, outdated setup to a secure and fully compliant environment.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.”
– Nancy
Contact us now to explore customized IT solutions that drive efficiency, security, and success for your business.