--- title: "Financial Services IT & Cybersecurity | SOC 2, FFIEC, GLBA | EFROS" description: "Managed IT and 24/7 SOC for banks, credit unions, fintech, wealth management, and insurance. SOC 2 Type II, FFIEC, GLBA, PCI-DSS, and SEC/FINRA aligned." canonical: https://efros.com/industries/financial-services/ --- - [Home](https://efros.com/) - /[Industries](https://efros.com/industries/) - /Financial Services By [Stefan Efros](https://www.linkedin.com/in/stefanefros-cyberdefense/), CEO & Founder, EFROS Updated · August 6, 2026 Industries / Financial Services # IT & Cybersecurity for Financial Services SOC 2 Type II, FFIEC, GLBA, PCI-DSS, and NYDFS-aligned managed services for banks, credit unions, wealth management, insurance, and fintech. 24/7 SOC built for regulated environments. ### Regulators don't accept 'we're working on it' Every exam cycle brings new controls from FFIEC, SEC, FINRA, and NYDFS. Evidence collection and continuous monitoring aren't things you bolt on the month before an exam. They have to be part of how you operate. ### Your attackers don't keep business hours Credential stuffing, BEC, wire fraud, and insider threats don't pause between 5 PM and 9 AM. A SOC that sleeps misses the 3 AM wire transfer that wasn't supposed to happen. ### Fintech APIs are the new perimeter Your API surface exposes you to partners, BaaS platforms, KYC vendors, and your own customers. Every integration is both a trust boundary and a potential attack path. Most breaches in the last two years have come through one of these. ### Cloud, but regulated AWS, Azure, and GCP all work for financial services. The catch is configuration, monitoring, and evidence. Default settings fail every exam. Getting the architecture right the first time is cheaper than remediating it under examiner pressure. ## What we deliver for financial teams ### 24/7 SOC with financial-services threat intel We monitor specifically for BEC, credential abuse, insider risk, and wire fraud patterns. Our SOC integrates with your fraud and AML platforms so alerts correlate instead of sitting in separate queues. Contracted MTTD and MTTC targets are documented in the service agreement and measured monthly. ### SIEM tuned for fraud and insider risk Event correlation across core banking, trading systems, and customer-facing apps. Detection content maps to FS-ISAC advisories and FFIEC guidance, tuned to what's actually targeting financial services right now. ### Privileged Access Management Just-in-time access, session recording, and credential vaulting for admins, traders, and third-party vendors. Every privileged action is auditable, which matters when internal audit or an examiner asks to see evidence of control operation. ### Data Loss Prevention & Encryption Classification and DLP for PII, NPI, and PCI data across email, cloud services, and endpoints. HSM-backed encryption for data at rest and in transit, with key management designed to satisfy NYDFS 500 and GLBA Safeguards. ### Vendor Risk & Third-Party Monitoring Continuous monitoring of your critical third parties, from cloud providers to SaaS platforms to fintech partners. Evidence ready when FFIEC reviews your third-party risk management program. ### SOC 2 & Compliance Operations Continuous control monitoring with automated evidence collection and remediation workflows. Covers SOC 2, PCI, GLBA, and NYDFS 500. Your auditors walk into a clean room instead of a fire drill. ## Compliance frameworks we operate against SOC 2 Type II Trust Services Criteria, continuous control monitoring PCI-DSS v4.0.1 Scope reduction, SAQ support, quarterly ASV scans GLBA / Safeguards Rule Administrative, technical, and physical safeguards FFIEC CAT Cybersecurity Assessment Tool maturity mapping NYDFS Part 500 CISO reporting, MFA, encryption, and 72-hr notification NIST CSF 2.0 Six-function risk management (Govern, Identify, Protect, Detect, Respond, Recover) aligned with regulator guidance ## Financial Services FAQ ### Is EFROS SOC 2 Type II audited? EFROS's controls are aligned to the AICPA SOC 2 Trust Services Criteria. The SOC 2 Type II attestation report — covering the auditor, audit period, and Trust Services Criteria scope — is available under NDA via the Trust Center. ### How do you support an FFIEC examination? We maintain continuous evidence for the FFIEC CAT and the Information Security booklet throughout the year. When the examiner shows up, your team has a pre-packaged response with control testing, risk assessments, and remediation history. Nobody is scrambling at midnight to build binders. ### Can EFROS operate inside our segregated production environment? Yes. We operate under least-privilege access, with session recording, MFA, and segregation of duties. Admin access is time-boxed and approval-gated. Full audit trail available for internal audit and examiners. ### What is your incident notification SLA for a security event? P1 (Critical) incidents follow the canonical EFROS SLA matrix at efros.com/trust/#sla: 30-minute acknowledgement, 1-hour containment status, 4-hour mitigation target, and ≤24-hour formal notification. Regulatory clocks (NYDFS Part 500 §500.17 72-hour, SEC Item 1.05 4-business-day, GLBA Safeguards Rule, FFIEC CAT breach notification, state breach statutes) run in parallel and are tracked per jurisdiction. Financial-services resources ## Built for community banks, credit unions, and RIAs [Playbook ### SR 11-7 for Community Banks FRB SR 11-7 model risk management applied to AI: model inventory, validation, ongoing monitoring, and the documentation OCC + Fed examiners actually open in an exam.Open→](https://efros.com/resources/sr-11-7-community-banks-ai-governance/) [Specialized program ### AI Governance for Financial Services Five-pillar AI program mapped to NIST AI RMF + SR 11-7 + NYDFS Part 500 + Colorado SB 26-189 (amended AI law), with FFIEC CAT alignment and quarterly board-grade reporting.Open→](https://efros.com/services/ai-governance/) [Case study ### Financial Services SOC 2 Audit End-to-end SOC 2 Type II readiness for a fintech: control inventory, evidence collection, auditor coordination, and the gap remediation that actually got us through the first audit.Open→](https://efros.com/case-studies/financial-services-soc2-audit/) [Free tool ### Free Security Scan 60-second external audit of your customer-facing domain — DNS, email auth (SPF/DKIM/DMARC), TLS, security headers. Branded PDF report for the exam binder.Open→](https://efros.com/tools/security-scan/) [Adjacent service ### Virtual CISO for Finserv Strategic security ownership at the level FFIEC and state regulators expect, without a full-time CISO hire. Board reporting, exam-prep, and incident-command coverage.Open→](https://efros.com/security/vciso/) [Adjacent service ### Incident Response Retainer Pre-engaged commander for wire-fraud, ACH fraud, ATM-jackpotting, and ransomware events with NYDFS Part 500 72-hour notification SLA baked into the runbook.Open→](https://efros.com/security/incident-response/) ## Ready for an examiner-grade security review? Free assessment aligned to FFIEC CAT and NIST CSF. We audit your controls, map them to regulator expectations, and deliver a prioritized remediation roadmap. [Run Free Security Score](https://efros.com/contact/) Related EFROS resources ## Financial services program stack [### SR 11-7 for community banks Three-pillar model risk management applied to AI/ML.Open→](https://efros.com/resources/sr-11-7-community-banks-ai-governance/) [### AI Governance for banks SR 11-7 + OCC 2011-12 + NIST AI RMF for credit, AML, fraud models.Open→](https://efros.com/services/ai-governance/) [### vCISO for financial services GLBA + NYDFS + FFIEC program ownership + CISO certification.Open→](https://efros.com/security/vciso/) [### MDR for financial services Wire-fraud, account-takeover, insider-theft detection tuned for banking.Open→](https://efros.com/security/mdr/) [### SOC 2 for financial services Trust Services Criteria readiness for fintech and RIAs.Open→](https://efros.com/resources/soc-2-readiness-checklist/) [### Banking AI vendor scoring FICO, Zest AI, Upstart, Hummingbird, Unit21 scored on SR 11-7 readiness.Open→](https://efros.com/research/us-ai-vendor-governance-index/)