Backup & Disaster Recovery
Protect critical business data with reliable backups and recovery capabilities designed to support operational resilience.
FINRA Cybersecurity Services
Protect sensitive financial data, strengthen cybersecurity, and support your firm’s FINRA compliance requirements.
Common FINRA Cybersecurity Challenges
Financial firms manage sensitive client information in an increasingly complex threat environment. Strong cybersecurity controls and ongoing risk management are essential for protecting your firm, your clients, and your reputation.
Protecting Sensitive Client Data
Financial and personal information must be protected against unauthorized access, exposure, theft, and other cyber threats.
Managing User Access
Weak authentication, excessive privileges, and outdated accounts can expose critical systems and sensitive information.
Keeping Up With Cyber Risk
Phishing, ransomware, credential theft, and other threats continuously evolve, requiring firms to regularly evaluate their security posture.
Preparing for Incidents & Disruptions
Firms need documented response and recovery processes to minimize the operational and regulatory impact of cybersecurity incidents.
Strengthen Your FINRA Cybersecurity & Compliance Readiness
Charles IT helps financial firms turn FINRA cybersecurity and regulatory expectations into practical safeguards that protect sensitive data, reduce risk, and support secure operations. With a dedicated service team specializing in FINRA requirements, we provide knowledgeable, personalized support tailored to the unique security, compliance, and operational challenges financial firms face. Our industry-focused approach helps your organization strengthen cybersecurity, maintain reliable systems, and support ongoing compliance readiness.
Ready to strengthen your cybersecurity posture?
What’s Included in Our FINRA Cybersecurity Services
Layered cybersecurity services designed to protect sensitive financial information, reduce cyber risk, and support your firm’s FINRA compliance efforts.
Encryption
Protect sensitive information in transit and at rest to reduce the risk of unauthorized disclosure.
Vulnerability Scanning
Identify vulnerabilities across your IT environment so security weaknesses can be prioritized and addressed.
Multi-Factor Authentication
Add an additional layer of identity verification to help prevent unauthorized access to sensitive accounts and systems.
Cybersecurity Awareness Training
Train employees to recognize phishing, social engineering, and other cyber threats while reinforcing secure behaviors.
Access Monitoring
Monitor access to sensitive systems and information to help identify suspicious or unauthorized activity.
Network Monitoring
Maintain visibility into network activity to identify potential security issues and respond more quickly to threats.
Data Loss Prevention
Use controls and policies designed to identify sensitive information and reduce the risk of unauthorized access, sharing, or loss.
Frequently Asked Questions
If you’ve got questions, we can help.
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1 (860) 344-9628 Middletown, CT
1 (203) 363-0011 Stamford, CT
1 (757) 420-5150 Chesapeake, VA
1 (401) 272-9262 Providence, RI
Does FINRA have cybersecurity requirements?
FINRA expects member firms to identify and address cybersecurity risks in accordance with their regulatory obligations. The specific controls and processes a firm needs depend on its business, systems, information, risks, and applicable requirements.
What is a FINRA cybersecurity gap assessment?
A cybersecurity gap assessment evaluates your firm’s existing technology, security controls, policies, and processes to identify vulnerabilities and areas that may need improvement to support your cybersecurity and compliance objectives.
How can Charles IT help with FINRA compliance?
Charles IT helps financial firms assess cybersecurity risk, strengthen technical controls, protect sensitive information, improve monitoring, prepare for incidents, and maintain IT documentation and processes that support regulatory readiness.
What cybersecurity controls should financial firms have?
Appropriate controls depend on the firm’s risks and environment, but commonly include multi-factor authentication, encryption, vulnerability management, security monitoring, employee training, incident response, backup and recovery, and access controls.
Is FINRA cybersecurity compliance an ongoing process?
Yes. Cybersecurity risks, technologies, business operations, and regulatory expectations change over time. Firms should regularly assess risks, review security controls, update policies, train employees, and improve their cybersecurity programs.