Audit prep drains your team
Internal staff get pulled into evidence gathering, policy reviews, and remediation cycles instead of serving clients. Every audit season becomes a scramble that diverts attention from revenue generating work.
IndustriesFinance
Managed IT Built for Financial Services
Financial institutions face a unique collision of regulatory pressure, cyber threats, and uptime demands. UIT delivers managed IT that treats compliance and security as daily operations, not annual checkboxes.
From SEC and FINRA requirements to SOC 2 readiness, we implement the controls your auditors want to see into the technology your team uses every day.
Compliance woven in
Through of vCISO and Pointguard products, your security controls, documentation, and evidence collection are maintained as part of operations.
Threat-aware operations
With Pointguard by UIT, monitoring, detection, and response are fine-tuned for the threat patterns that target financial institutions.
Single-provider accountability
One IT, Compliance and Cybersecurity partner with named engineers, clear expectations, and executive escalation paths.
The Challenge
Financial services IT carries risks most providers aren't built to manage.
Regulatory requirements and examination expectations continue to evolve, threat actors are more sophisticated, and the cost of downtime or breach in financial services is measured in trust, not just dollars. These are the challenges we hear most from finance leaders.
Financial data is a top target
Threat actors prioritize financial institutions because the data is high-value and the attack surface is broad. Phishing, ransomware, and credential theft campaigns are constant and increasingly sophisticated.
Multi-location complexity
Branch offices, hybrid teams, and remote advisors create inconsistent security postures and support gaps. Every location that falls behind on patching or policy becomes a liability.
Vendor sprawl obscures accountability
Multiple IT vendors mean finger-pointing during outages and compliance gaps that fall through the cracks. No single provider owns the outcome, and leadership loses visibility.
How UIT Solves It
IT operations designed around the way financial institutions actually work.
Each solution maps directly to a pain point. We built our financial services practice around closing these gaps with proactive, security-aware managed IT.
Compliance-first operations
Security controls, documentation, and reporting are maintained continuously so audit season is a review, not a scramble. with vCISO and PointGuard, evidence is collected as a byproduct of operations.
Layered threat protection
Endpoint detection, email security, vulnerability management, Compliance-as-a-Service, and 24/7 monitoring tuned for financial sector threat patterns. We detect and respond before damage spreads.
Unified management across locations
Standardized configurations, centralized monitoring, and responsive support whether staff are in a headquarters, branch office, or working remotely.
One team, full accountability
A single IT partner with named engineers, clear expectations, and executive escalation paths. When something needs attention, there is no ambiguity about who owns it.
Compliance Expertise
Frameworks we understand so you stay audit-ready.
Compliance is not just a project with a start and end date. UIT embeds the technical controls, documentation, and monitoring that these frameworks require into our cybersecurity, IT, and compliance operations.
SEC / FINRA
Cybersecurity rules & examinations
SEC Regulation S-P (Safeguards Rule) requires registered broker-dealers, investment companies, and registered investment advisers to adopt written policies and procedures with administrative, technical, and physical safeguards to protect customer records and information. Regulation S-ID (Identity Theft Red Flags) applies to certain SEC-regulated entities that qualify as financial institutions or creditors under the FCRA and requires those that maintain covered accounts to adopt a written identity theft prevention program. FINRA Rule 3110 requires member firms to maintain a supervisory system and written supervisory procedures reasonably designed to achieve compliance, including procedures for reviewing written (including electronic) correspondence and internal communications.
SOC 2 Type II
Trust services criteria readiness
SOC 2 audits evaluate security, availability, processing integrity, confidentiality, and privacy controls over time. UIT can operate your environment against these criteria continuously, from change management and access reviews to monitoring and incident documentation, keeping you audit-ready year-round.
GLBA Safeguards Rule
Gramm-Leach-Bliley Act
Requires financial institutions to develop, implement, and maintain a comprehensive security program protecting customer information. UIT provides the technical foundation: encryption, access controls, risk assessments, and vendor management.
Massachusetts Data Security Regulation
201 CMR 17.00 (M.G.L. c. 93H)
Massachusetts' 201 CMR 17.00 requires any person that owns or licenses personal information about a Massachusetts resident to develop, implement, and maintain a comprehensive written information security program (WISP) with administrative, technical, and physical safeguards. The regulation also sets computer system security requirements for those who electronically store or transmit such information, including secure user authentication, access controls, encryption of personal information transmitted over public networks and stored on portable devices (to the extent technically feasible), monitoring, and service-provider oversight.
FFIEC Guidance
Federal examination standards for banks and credit unions
Banking Exam Readiness
OCC, FDIC, and NCUA examination preparation