Managed IT for Financial
Advisors & CPA Firms.
Your clients hand you their most sensitive financial information. Regulators — FINRA, the SEC, the IRS, state boards — have direct expectations about how you safeguard it. We build the IT environment and the documentation that lets you say yes with confidence when they ask.
Compliance is now
an IT problem.
The regulatory environment for financial professionals has crossed a threshold: cybersecurity is no longer something you outsource and forget about. FINRA, the SEC, and state CPA boards have published guidance making clear that your IT controls are part of your compliance posture — and they want documentation.
Cyber liability carriers have followed. Whether you're a registered investment advisor, a CFP, or a CPA with business clients, your cyber insurance renewal is now a questionnaire about MFA, email security, backup verification, and increasingly, AI governance.
Beyond compliance, the threat is real: financial professionals hold client account numbers, SSNs, tax returns, and wealth data — exactly what attackers target for fraud and identity theft. A breach affecting client financial data carries legal, regulatory, and reputational consequences that can end a practice.
IT that meets the
standard regulators demand.
Documented Security Controls
Written policies for access management, data handling, incident response, and AI governance — exactly what FINRA, the SEC, and your carrier want to see.
MFA & Zero-Trust Access
Multi-factor authentication enforced across every account. Client data is accessible only to authorized staff — with access logs and the ability to revoke instantly.
Email Security & BEC Protection
Business email compromise is the leading fraud vector for financial firms. We deploy advanced filtering, impersonation detection, and wire fraud alerts.
Backup Verification
Monthly restore testing confirms your client data backup actually works. We document the results — so when a carrier or auditor asks, you have evidence, not assumptions.
Cybersecurity Risk Assessments
Formal risk assessments that document your threat surface, identify gaps, and provide a remediation roadmap — the written record regulators and carriers request.
Private AI Deployment
AI tools that operate entirely within your environment — no client financial data ever touches a public model. Documented governance policy included.
Client data and AI —
a risk you can't ignore.
Your staff is using AI right now.
Tax preparers using ChatGPT to summarize financial documents. Advisors using Copilot to draft client summaries with account data as context. Staff using AI for research with client names visible in the prompt.
Every one of these interactions sends client financial data to a public AI model — permanently, with no retrieval, no audit trail, and no notification to the client or regulator. For FINRA-registered advisors and CPA firms under the Safeguards Rule, this is not a theoretical risk. It's an active compliance failure.
We deploy private AI tools that deliver the same productivity benefit within a controlled environment. And we write the governance policy that documents your approach — so your next carrier renewal and your next FINRA exam has a clear, defensible answer.
Learn About AI Governance- Advisor pastes client portfolio summary into ChatGPT for analysis — account numbers included
- CPA uploads client tax documents to an AI tool to draft an engagement letter
- Staff uses public AI to summarize estate planning documents with beneficiary information
- No AI policy in place — carrier renewal asks, firm has no answer
- FINRA exam asks about AI governance — no documentation exists
Finance & CPA firms
need the Best plan.
AMP IT Best
For financial advisors and CPA firms subject to FINRA, SEC, or FTC Safeguards requirements, the Best plan provides the compliance documentation, cybersecurity risk assessments, and vCIO services needed to meet regulatory expectations and answer carrier questionnaires with confidence.
- All Essential + Better features
- Virtual CIO — compliance roadmapping
- P1: 1-hr response / P2: 4-hr resolution SLA
- Dedicated account manager
- Cybersecurity risk assessments (documented)
- Compliance planning — FINRA, SEC, FTC Safeguards
- Disaster recovery planning + annual tabletop
- AI governance framework + private AI deployment
- After-hours emergency coverage included
Ready to answer the
compliance question?
Book a free IT assessment for your Charlotte financial advisory or CPA practice. We'll show you exactly what your regulators and carriers are looking for — and how to document it.