Financial firms handle some of the most sensitive data in any industry – tax returns, investment portfolios, loan files, payroll records, and client financial histories. The regulatory environment is layered and actively enforced: the IRS, the FTC, GLBA, and PCI DSS all impose requirements on how that data is protected. A general IT provider can keep your computers running. A specialized finance IT partner understands the compliance obligations, knows your software, and structures your environment to meet regulatory requirements rather than leaving you to figure out which rules apply. That difference matters when an IRS audit, an FTC Safeguards review, or a data breach occurs.

A Written Information Security Plan is a documented security policy required by the IRS for all tax preparers – including CPA firms, enrolled agents, bookkeepers, and any individual or business that prepares federal tax returns. The IRS made WISP mandatory under its data security requirements, aligned with Publication 4557. The plan must describe how your firm protects client data, who is responsible for security, how breaches are handled, and what controls are in place. Many firms have heard of the WISP requirement but have not completed one – which creates regulatory exposure. We produce a full WISP aligned to IRS Publication 4557, including the documented policy, implementation plan, and supporting procedures. For managed IT clients, WISP creation and ongoing maintenance is included. It is also available as a standalone project.

The FTC Safeguards Rule was significantly updated in 2023 and expanded its reach to include non-bank financial institutions – which includes CPA firms, tax preparers, financial advisors, mortgage brokers, and payroll service companies that were not previously in scope. The updated rule requires covered firms to implement a formal information security program that includes a written risk assessment, access controls, encryption of customer data, multi-factor authentication, employee training, incident response planning, and the designation of a qualified information security officer. Failure to comply exposes firms to FTC enforcement action. We help finance clients assess their current posture against Safeguards Rule requirements, implement the required controls, and maintain the documentation the rule demands.

We have hands-on experience with Drake Tax, Lacerte, Sage, Peachtree, Redtail CRM, and a range of other industry-specific platforms used across CPA firms, financial advisors, and portfolio management firms. Beyond the named platforms, we work with whatever line-of-business software your firm runs – including troubleshooting connectivity and performance issues, managing software updates without breaking integrations, and coordinating with your software vendors directly so your staff does not have to act as the go-between.

Our deepest concentration of clients is in accounting and CPA firms, but we serve the full range of finance organizations. This includes financial portfolio management firms, registered investment advisors, hard money and mortgage lenders, insurance firms, bookkeepers, payroll service companies, and forestry and asset management firms. The compliance requirements vary across these firm types – GLBA, FTC Safeguards, IRS WISP, PCI DSS – and we manage those frameworks based on what applies to your specific operation.

Yes. The Gramm-Leach-Bliley Act applies broadly to financial institutions, including many firms that do not think of themselves as being in the financial sector – CPA firms, mortgage brokers, financial advisors, and others that receive consumer financial information as part of their services. GLBA requires covered firms to implement a comprehensive information security program, provide privacy notices, and protect nonpublic personal information. We help finance clients assess their GLBA obligations, implement required safeguards, and maintain the documentation needed to demonstrate compliance.

The consequences are significant on multiple fronts simultaneously. Regulatory penalties can come from the IRS, the FTC, and state attorneys general depending on the nature of the data and the firm’s compliance status. Client relationships, built over years, can be destroyed by a single incident. Professional liability exposure is real, particularly for CPA firms and registered investment advisors. And the operational cost of breach response – forensic investigation, notification, remediation, and potential litigation – can be severe for a small or mid-sized firm. The cost of the right security posture is a fraction of the cost of a breach.

Ransomware protection in a finance environment requires multiple layers working together. We deploy SentinelOne endpoint detection and response, which uses behavioral analysis to catch ransomware before it can execute – including variants that have never been seen before. Proofpoint protects email, which remains the primary delivery mechanism for ransomware attacks. Offsite immutable backups ensure that even if an attack succeeds, you can restore from a clean recovery point without paying a ransom. And we conduct penetration testing and vulnerability scanning to identify gaps in your defenses before attackers find them. No single tool prevents every attack – layered protection does.

Tax season is not the time for infrastructure changes, software updates, or anything that introduces risk to a firm’s operations. We understand that and triage support tickets accordingly. Issues that affect a firm’s ability to process returns, access client files, or operate core systems are treated with the urgency that a time-sensitive deadline demands. Our proactive monitoring runs year-round specifically so that problems are caught and resolved before they compound during your highest-pressure period rather than surfacing at the worst possible moment.

Yes. Emailing sensitive financial documents is not secure and creates compliance exposure. We set up and support secure client portal solutions and encrypted file sharing systems for finance firms – both through industry-specific platforms and independent solutions depending on your workflow and software stack. We have deployed several of these for finance clients and handle the configuration, access controls, and ongoing management so your staff and clients have a secure, reliable way to exchange sensitive documents.

We implement zero trust remote access to the resources your staff needs – whether they are working from home during tax season, accessing the firm’s systems from a client site, or managing a distributed team across locations. Zero trust means access is granted based on verified identity and device health rather than network location – a significantly more secure model than traditional VPN solutions. This approach aligns with both FTC Safeguards Rule requirements and general security best practices for firms handling nonpublic personal financial information.

Yes. Cyber insurance carriers have significantly tightened their underwriting requirements for financial services firms, and many policies now require demonstrated controls – MFA, endpoint protection, backup procedures, incident response planning, and employee training – before coverage is issued or renewed. We help finance clients implement the specific controls their carrier requires, prepare the documentation needed during the application or renewal process, and maintain the security posture that keeps coverage in force.

It depends on what that person is actually equipped to handle. In many small and mid-sized finance firms, the person responsible for IT is a partner, an office manager, or an administrative staff member who became the default tech contact by necessity rather than expertise. That arrangement works until it does not – and in a regulated environment, the stakes of an IT failure are higher than in most industries. If your firm has a dedicated IT person, a co-managed arrangement lets them handle day-to-day staff support while we manage security, compliance, monitoring, and projects. We are happy to have an honest conversation about whether bringing us in would genuinely add value.

The free network evaluation is a review of your firm’s current IT environment – network, workstations, servers, software, security posture, backup configuration, and any visible compliance gaps. We identify risks, immediate issues, and any areas that create regulatory exposure, and we provide a clear summary of findings. There is no cost and no obligation. It gives your firm a factual baseline before making any decisions about IT support.

Fill out the form on this page to tell us about your firm. We will schedule a free network evaluation, review your environment, and come back with a clear picture of what your firm needs and what working with us would look like. There is no cost to the evaluation and no obligation to proceed.