Financial Services
Regulatory compliance & financial threat protection
Navigate the complex regulatory landscape with confidence. Our solutions ensure continuous compliance while protecting your institution from sophisticated financial threats. With 30 years of experience supporting financial institutions across the Tri-State area, CRA understands the unique pressures facing banks, wealth managers, RIAs, and financial services firms.
Regulatory scrutiny is increasing. Cyber threats are more sophisticated. And your clients expect seamless, secure
access to their financial data at all times.
30+
Years serving NYC financial institutions
24/7
Helpdesk & managed detection coverage
FINRA-SEC-NYDFS
Aligned compliance reporting
WHO WE COVER
Every sector,
its own rulebook
Banks & Credit Unions
Platforms We Support
- Core banking platforms
- Microsoft 365
RIAs & Wealth Managers
Platforms We Support
- Schwab
- Fidelity
- Redtail
- Salesforce CRM
GLBA Safeguards Rule, FFIEC examination guidance, NYDFS 23 NYCRR 500 annual certification
A branch outage is a trust outage.
Compliance We AddresS
Advisors should be in meetings, not password resets.
Compliance We AddresS
SEC Regulation S-P safeguards and disposal rules; SEC marketing and recordkeeping rules
Nonpublic personal information sitting across custodial, CRM, and email systems at once
Primary Risk
Account and payment systems that must stay up during business hours, with regulators reviewing prevention rather than recovery
Primary Risk
How We Help
Examiner-ready documentation, access reviews, and continuity testing across every branch
How We Help
Custodian and CRM integrations kept working, plus written policies mapped to Reg S-P
Broker-Dealers
Platforms We Support
Evidence only holds up if the record does.
- Microsoft 365
Compliance We AddresS
FINRA Rule 4370 business continuity, SEC 17a-4 recordkeeping, supervisory procedure requirements
Communications and trade records that must be retained, unaltered, and produced on demand
Primary Risk
How We Help
Immutable retention with retrieval tested before an examiner asks for it
Private Equity & Hedge Funds
Platforms We Support
- Virtual data rooms
- LP reporting portals
Compliance We AddresS
SEC adviser rules, investor due-diligence questionnaires, SOC 2 vendor reviews
Deal data is worth more than the network it sits on.
Lean internal teams
holding concentrated, market-sensitive information
Primary Risk
How We Help
Hardened data rooms and vendor-risk reviews ahead of LP diligence requests
Family Offices
Platforms We Support
- private banking portals
- document management
Small headcount, outsized target profile.
GLBA safeguards, privacy obligations, trust and estate recordkeeping
Compliance We AddresS
Concentrated wealth and wire authority with little internal IT oversight
MFA-hardened banking access and a written security program sized to the office
Primary Risk
How We Help
Insurance Agencies
Platforms We Support
Policyholder data moves through too many hands.
- carrier portals
- e-signature tools
NYDFS Part 500, state insurance data-security laws, GLBA safeguards
Compliance We AddresS
Personal and
health information exchanged constantly with outside carriers
Primary Risk
Carrier-portal access control and encryption applied to policyholder records
How We Help
Fintech
Platforms We Support
- Cloud infrastructure
- payment rails
- API integrations
- CI/CD pipelines
Audit-ready has to be the default state.
Compliance We AddresS
PCI-DSS cardholder data controls, SOC 2, sponsor-bank oversight requirements
Transaction data and payment credentials handled at volume and at speed
Primary Risk
How We Help
Segmented PCI scope, logging, and evidence collection built in from day one
Accounting & Tax
Platforms We Support
Busy season is the worst time to lose a server.
- Tax preparation
- secure client file exchange
Compliance We AddresS
IRS Publication 4557 and WISP requirements, FTC Safeguards Rule, retention rules
Complete client financial records concentrated in a few weeks of peak load
Primary Risk
How We Help
A maintained WISP plus seasonal capacity and backup verification before filing deadlines
Manage360°
Eight disciplines,
one department
Everything a firm's IT needs to stay governed, resourced, and audit-ready, without a full internal department.
Governance
Board and examiner reporting built into every system decision.
ITIL Service Management
Service delivery trading desks can plan their day around.
Strategic Sourcing
Vendor and licensing decisions weighed against firm economics.
Security, Compliance & Data Protection
Controls mapped to FINRA, SEC, PCI-DSS, and NYDFS from day one.
IT Consulting & vCIO Advisory
A virtual CIO planning around AUM, headcount, and exam cycles.
User & Access Management
Staff see the accounts their role requires, nothing beyond.
Service Desk
Engineers answering the people who handle client money.
Endpoint & Device Management
Every laptop, phone, and
workstation patched and encrypted.
A full IT department
for your firm: one team,
one invoice, one flat rate.
Manage360° is our fully outsourced IT department at one predictable, flat-rate cost — built for financial firms that need enterprise-grade infrastructure without an enterprise-sized budget. Governance, security, service desk, and vCIO advisory in one relationship: one call, one invoice, one team that already knows what a custodian integration and an SEC exam each demand.
Banks · Wealth Management · Broker-Dealers · Fintech
Day-to-Day Support
The desk never closes
Helpdesk Support
Round-the-clock live support with centralized ticketing, so advisors, traders, and branch staff reach a person, not a portal, when something breaks.
IT Operations & Management
Remote support, patch management, hardware maintenance, and custodian coordination handled before it reaches your desk.
Autonomous Breach Platform
Detect, respond, track
The same platform protecting banks, broker-dealers, and advisory firms across the Tri-State, tuned to the fiduciary and confidentiality obligations your firm carries for every client account.
01
DETECT & prevent
02
respond
03
Ransomware, malware, exploit attempts, and data exfiltration stopped before client account data is exposed.
Automated investigation, deception tactics, and remediation playbooks act at machine speed.
track
Continuous incident tracking and proactive threat hunting close the loop after response.
Cloud Computing for Finance
Infrastructure your firm doesn't have to manage
Outsourced
Infrastructure is monitored and maintained without adding headcount.
Internet-based
Client account records reachable from any branch or home office.
Multi-Tenant
Enterprise-grade infrastructure shared efficiently, priced accordingly.
Transparency
Clear visibility into performance, cost, and uptime at all times.
Consumption-based
Pay for what the firm actually uses, not a fixed enterprise footprint.
IT Staffing Process
Six steps,
NO SHORTCUTS
01
Assessment
Define the role against the firm's actual gap.
02
Search & Advertising
Source candidates from vetted networks.
03
Screening
Technical and background review before submission.
04
Candidate Selection
Shortlist presented with full context.
05
Candidate Approval
Firm makes the final call, we
handle logistics.
06
Performance Evaluation
Ongoing review once the placement is live.
Consulting Services
Project work, scoped and delivered
Migration & Implementation
Moving systems without moving deadlines.
Asset &
Vendor Management
One point of accountability for every contract.
Project Management & Tech Consulting
Delivery discipline applied to technology decisions.
Design & Architecture
Infrastructure planned for where the firm is headed.
From the Research Desk
Notes on wire fraud, encryption & compliance
Get Started
Let's put this to work for you
Tell us a little about your organization and we'll follow up with a plan scoped to your size, industry, and current risk.
Get Started
Let's put this
to work for you
Tell us a little about your organization and we'll follow up with a plan scoped to your size, industry, and current risk.