Managed IT Services for Financial Services
Financial firms run on two things competitors can’t easily copy: client trust and clean records. CyberDuo keeps your systems running, your client data protected, and your compliance posture documented — so an exam or a vendor questionnaire is a non-event, not a fire drill.
A general IT company keeps laptops online. Finance needs more.
It usually can’t tell you how your setup maps to SEC Reg S-P or the FTC Safeguards Rule, and it won’t be ready when an examiner asks for evidence. Three reasons finance is different.
You're a target
Financial services was the most breached US industry in 2025 — 739 reported compromises, more than any other sector, and the top spot for the second year running.
Source: Identity Theft Resource Center, 2025 Annual Data Breach Report.
The rules keep expanding
GLBA, SEC Reg S-P, FINRA, PCI DSS, and California’s CCPA all govern how you store, protect, and dispose of client information. Several updated in the last two years.
A single miss is expensive
A breach or a failed exam can mean fines, mandatory remediation, and lost clients. Trust doesn’t come back at full strength.
What managed IT for a financial firm looks like in practice
Day-to-day IT that stays out of the way
A 24/7 helpdesk by phone, email, or chat, remote and on-site support across Southern California, plus patching and monitoring handled before your staff notices.
A security stack built for sensitive data
Email and phishing protection, MFA and identity controls, endpoint protection, and 24/7 threat detection and response — because attacks rarely arrive during business hours.
Microsoft 365 set up the way finance needs it
Encryption, conditional access, audit logging, and email and file retention that supports your recordkeeping obligations — not just convenience.
Backups and recovery you can prove
Backup and disaster recovery with tested restores and recovery times we’ll put in writing, plus dedicated Microsoft 365 backup.
Compliance support that produces evidence
Written security policies, an incident response plan, vendor oversight records, and proof your controls are actually running.
A strategy seat at the table
A virtual CIO and CISO who plan budgets, lead your security roadmap, and sit with you before an exam or a client due-diligence review.
The financial rules we build your IT around
We design and document your environment against the frameworks that apply to your business. Expand any to see how.
The Gramm-Leach-Bliley Act requires financial firms to protect customer information. The FTC’s updated Safeguards Rule now requires a written security program, a designated qualified individual, and breach notification to the FTC within 30 days of discovery for incidents affecting 500 or more consumers. We build the controls and keep the records that back them up.
If you’re an SEC-registered investment adviser, broker-dealer, or investment company, the 2024 amendments now require a written incident response program, client notification within 30 days of a breach involving sensitive information, service provider oversight, and recordkeeping. Smaller firms (RIAs under $1.5 billion in AUM) had to comply by June 3, 2026. If you haven’t closed that gap, it’s the first thing we address.
For broker-dealers, FINRA expects supervision of communications, written supervisory procedures, anti-money-laundering controls, and recordkeeping that meets retention and integrity standards. We configure email archiving, access controls, and logging to support those obligations.
If your firm handles payment card data, PCI DSS sets requirements for how that data is stored, transmitted, and protected. We scope your environment to reduce what falls in range and lock down what remains.
As a Southern California firm, you almost certainly handle data covered by California’s privacy laws. We build data-handling and security practices that line up with state requirements alongside the federal ones.
Public companies and their service providers face Sarbanes-Oxley controls over financial reporting systems. Firms doing business in New York may fall under NYDFS 23 NYCRR 500. If either applies, we account for it in your design.
Last reviewed: June 2026.
Different financial businesses, different IT realities
How we work with each. Expand the one that fits your firm.
RIAs and wealth managers live under SEC and state oversight, Reg S-P, and the SEC Marketing Rule. We secure client portals and CRMs, lock down email, set up retention that holds up to an exam, and give you the documentation your compliance officer needs. One of our most common engagements.
Broker-dealers carry FINRA supervision, AML, and recordkeeping obligations. We configure communications capture, archiving, and access controls so your written supervisory procedures are backed by systems that actually enforce them.
Funds need uptime during market hours, secure access for a distributed team, and clean data handling for investor due diligence. We build environments that pass operational due-diligence reviews without scrambling.
PE firms manage sensitive deal data across multiple portfolio companies. We have a dedicated approach for this — see our private equity IT services.
Insurance firms hold large volumes of personal and health-adjacent data and run on agency management systems. We secure that data, protect against email fraud, and keep your agency platform available and backed up.
Tax and accounting firms hold some of the most sensitive personal financial data there is, and the IRS now expects a written information security plan. We help you build and run one, harden your tax software environment, and protect client data through filing season and beyond.
Lenders process applications full of personal and financial detail under GLBA and state rules. We secure loan origination systems, protect documents in transit, and keep your team productive across branches and remote work.
Smaller depository institutions answer to FFIEC examiners and need layered security with the documentation to prove it. We provide monitoring, controls, and exam-ready evidence sized for an institution without a large internal IT department.
Early-stage financial technology companies need security that satisfies investors and enterprise customers without slowing the product down. We set up scalable, well-documented infrastructure and security from the start.
Family offices combine investment management with deeply private personal data and small teams. We provide discreet, high-touch IT and security that protects the family and the firm.
Security-first, and built for audits
Security-first by design
A cybersecurity-led MSP, not an IT shop that added security later.
SOC 2 Type II attested
We hold our own operations to the standard your auditors respect.
Local & around the clock
On-site across LA, Orange County, San Diego, and the Bay Area; monitoring 24/7 the rest of the time.
What working with us looks like
Assessment
We review your environment, your stack, and the rules that apply, and show you the gaps.
Plan
A prioritized roadmap with the compliance-critical items first.
Onboarding
We deploy monitoring, security, and backup, documenting everything as we go.
Ongoing
Day-to-day support, 24/7 security, quarterly strategy reviews, and exam support.
Frequently asked questions
A managed service provider that runs IT and cybersecurity for financial firms and understands the regulations they operate under — GLBA, SEC Reg S-P, FINRA. The difference from a general MSP is that the work is built and documented to survive an audit or exam, not just to keep systems online.
Yes. We keep the technical documentation examiners ask for, and our vCISO works with your compliance team before and during an exam.
Yes. Our co-managed IT model adds security, monitoring, and compliance support to your existing team.
We monitor 24/7 and respond to threats around the clock. If you’re dealing with an active incident now, contact us immediately.
We’re headquartered in Glendale and serve Southern California from LA to San Diego, plus the Bay Area and select other markets. Much of the work is delivered remotely with on-site support when needed.
Talk to a financial IT specialist
Tell us about your firm and the rules you answer to, and we’ll show you where your IT and security stand and what to fix first.
Phone +1 (855) 933-6638 · Email ask@cyberduo.com