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Industry · FINRA

Financial Services IT Support in Lexington, KY

IT support and security for financial firms and broker-dealers, with compliance-aware guidance for FINRA and SEC expectations.

Schedule an IT AssessmentCall (859) 474-7774

What makes this industry different

Financial firms hold client money and client data, and they answer to FINRA and SEC expectations about how both are protected. Email is the riskiest system in the office, because a single convincing message can redirect a wire transfer.

Firms also need records they can produce on request, which means IT decisions have to hold up to outside review, not just work day to day.

Where financial firms get hurt

  • Wire fraud by emailA spoofed or compromised mailbox can redirect client money.
  • Accounts without MFAOne stolen password can expose client data across the firm.
  • No documentation on handExams and client due diligence ask for proof of your controls.
  • Access that driftedStaff collect permissions over the years and nobody trims them back.

What we do for financial firms specifically

  • Email security built for wire fraudPhishing filtering, domain protection and alerts for suspicious sign-ins.
  • Multi-factor authentication everywhereEvery account protected by more than a password.
  • Access reviewsPermissions checked so people only reach what their role needs.
  • Documentation supportRecords of your IT controls ready for exams and due diligence.

The compliance angle

FINRA-aware IT, built into the support

We provide compliance-aware IT guidance for FINRA and SEC expectations: security controls, access management and documentation. Your firm stays responsible for its compliance program; we make sure the IT behind it holds up.

  • Email protectionDefenses against the phishing and spoofing behind most wire fraud.
  • Identity securityMFA and access reviews for every account.
  • Data protectionBackups and recovery planning for client records.
  • DocumentationRecords of your safeguards for exams and due diligence.

Services financial clients use

See how we handle security and compliance in the Mash IT trust center.

Illustration of a financial office desk with charts on a monitor, a locked records cabinet and a security shield

Financial IT questions

See where your IT actually stands

Start with an assessment. We'll map your environment and recommend a practical path, without the sales pressure.

Schedule an IT AssessmentCall (859) 474-7774