Financial Services 1 Day Compliance Assessment


A compliant modern workplace environment for financial service firms managed by experts.

Criminals target financial service firms because that’s where the money is. And like so many firms, they often lack the resources and in-house experience to deal with sophisticated threats and increasing regulatory scrutiny. Xantrion is here to implement and support a compliant modern workplace environment so you can focus on everything else. The first step on your journey to a compliant modern workplace environment is an IT Roadmap. Your Roadmap is developed by assessing where you are in the following areas: SECURITY & COMPLIANCE: Data & system protection, Compliance with SEC and FINRA requirements, Incident recovery & response, User training PRODUCTIVITY & COLLABORATION: Branch office & remote access Mobile device & app management, Real-time meetings, Calling & collaboration DATA LOSS PREVENTION: Data backup Disaster recovery Business continuity SYSTEMS: Configuration & reliability, Monitoring & maintenance, New tech opportunities RESOURCES: User support & Staffing

We provide guidance on the systems, resources, budget & timeline required to point your IT investment in the right direction for years to come.

The next step is implementing your modern workplace environment as well as processes and procedures that manage costs & improve productivity. Your environment & procedures include around-the-clock system & user support as well as data loss prevention so you can unlock the full potential of Microsoft 365. They also include an entry-level security program that protects you from cyberattacks & lays the groundwork for compliance.

The final step on your journey is compliance and state-of-the-art security. At this stage, we implement advanced features of Microsoft 365 that allow you to comply with SEC and FINRA requirements. In addition, these features, along with our quarterly reports, penetration tests, and program certifications, make it easy for auditors to confirm compliance.  Click to learn more

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