For Financial Organizations

The examiner doesn't want assurances. The examiner wants evidence.

Broker-dealers, RIAs, wealth management practices, and insurance organizations live under continuous examination — SEC, FINRA, NYDFS, state regulators, home offices, and cyber insurers, all asking the same question: prove it.

The Situation

Your controls have to reach every office, every device, every rep.

The branch office running on home Wi-Fi. The rep's personal laptop holding client statements. The vendor nobody vetted. Examination doesn't grade your headquarters — it grades your weakest endpoint. And AI adoption adds a new chapter to every exam manual.

Compliance you can't document is compliance you don't have. We build the posture and the paper trail together.

What We Deliver

  • Exam-ready evidence — cybersecurity controls documented to the standard SEC, FINRA, and NYDFS examiners expect to see
  • Managed security across the footprint — corporate-grade controls enforced on every device and branch, BYOD included, backed by a partner network protecting 40,000+ financial-services endpoints
  • Vulnerability findings — your environment examined the way an attacker would, by credentialed professionals, before the incident instead of after
  • AI adoption within the rules — client-facing and back-office AI deployed with the recordkeeping, supervision, and data-handling your compliance manual requires
  • Vendor & third-party risk — due diligence on every platform touching client assets or data, documented for your files
  • Investigations & forensic accounting — internal investigations, asset verification, and transaction due diligence when something doesn't add up — see the Investigations practice

Why Gregg Global

Risk mitigation is not a product we added. It's the practice.

Our advisory was built on technology-driven risk mitigation for institutions that answer to regulators — backed by delivery partners who have served financial services exclusively for three decades. You get boutique counsel with institutional muscle behind it.

Begin with the Assessment.

AI readiness, vulnerability findings, and a compliance gap review against your regulator's framework — one engagement, one written report.

Request the Assessment