IT Services for Financial Services Firms
Secure, compliant IT infrastructure for financial advisors, CPAs, accounting firms, mortgage brokers, and financial services organizations throughout Maryland, Virginia, and DC.
IT Infrastructure That Earns Client Trust
Financial services firms hold some of the most sensitive data that exists — account numbers, tax records, investment portfolios, social security numbers, and confidential financial strategies. Regulatory frameworks from the SEC, FINRA, FTC, and PCI Security Standards Council impose strict obligations on how that data is stored, transmitted, and protected. A single breach or compliance failure can result in regulatory fines, client loss, and reputational damage that ends practices built over decades. Metro Point IT partners with financial services firms across Maryland, Virginia, and DC to implement the security controls, audit trails, and compliance documentation your regulators demand and your clients expect.
Compliance Frameworks We Support
- GLBA (Gramm-Leach-Bliley Act) — Safeguards Rule
- SOC 2 Type II — Security & availability trust criteria
- PCI-DSS — Payment card data security standard
- SEC Cybersecurity Rules — Incident disclosure requirements
- FINRA — Cybersecurity best practices and data retention
- Maryland PIPA — State data breach notification law
Compliance Deep Dive
GLBA Safeguards Rule
What It Is
Requires financial institutions — including RIAs, mortgage brokers, CPAs, and auto dealers that offer financing — to develop and maintain a comprehensive written Information Security Program. The 2023 updated rule added MFA, encryption, penetration testing, and a designated qualified individual.
How We Help
Assessment against all Safeguards Rule requirements, implementation of required controls (MFA, encryption, access controls, audit logging), development of your written Information Security Program, and annual reporting support.
PCI-DSS
What It Is
Applies to any organization that accepts, stores, processes, or transmits credit card data. Non-compliance can result in $5,000–$100,000 monthly fines and loss of card payment capability.
How We Help
Cardholder data environment assessment, network segmentation to minimize PCI scope, required security control implementation, Self-Assessment Questionnaire assistance, and QSA audit preparation.
SOC 2 Type II
What It Is
Auditing framework demonstrating effective security controls over customer data over time (minimum 6-month observation). Increasingly required by enterprise clients and institutional investors.
How We Help
SOC 2 readiness assessment, control gap remediation, continuous monitoring and evidence collection, and formal audit preparation.
Financial Services IT We Provide
Cybersecurity & Threat Protection
Endpoint protection, MFA, email security, and 24/7 threat monitoring protecting sensitive client financial data.
Explore Cybersecurity ServicesSecure Microsoft 365 & Cloud
Encrypted email, secure file sharing, and compliant cloud storage for financial documents and client communications.
Explore Microsoft 365 ServicesGLBA Information Security Program
Complete written ISP development, technical control implementation, and annual reporting support.
Explore Cybersecurity ServicesBackup & Disaster Recovery
Encrypted redundant backup with documented recovery procedures meeting SEC data retention requirements.
Explore Backup & RecoveryManaged IT Support
Flat-rate IT management keeping your firm secure and available with local on-site support.
Explore Managed IT SupportNetwork Security & Firewalls
Business-grade firewall, VPN for remote advisors, and network segmentation to protect client data environments.
Explore Network ServicesWhy Metro Point IT for Financial Services
Financial Sector Experience
We understand the regulatory landscape for RIAs, mortgage brokers, and CPA practices in Maryland and Virginia.
Data Confidentiality First
Strict confidentiality in every engagement. Your client data is never at risk.
Audit-Ready Documentation
All security controls, changes, and incidents documented for compliance teams and auditors.
Rapid Incident Response
15-minute response and incident procedures to meet regulatory breach notification timelines.
Frequently Asked Questions
Does GLBA apply to my financial advisory or CPA firm?
Yes. The FTC Safeguards Rule applies broadly — registered investment advisors, mortgage brokers, CPA firms that prepare tax returns, payday lenders, and auto dealers that arrange financing are all covered. If your business handles customer financial information as a material part of operations, the Safeguards Rule almost certainly applies.
What technical requirements does the updated Safeguards Rule require?
The 2023 rule requires: a written Information Security Program, a designated qualified individual, a risk assessment, MFA for anyone accessing customer information, encryption at rest and in transit, annual penetration testing, activity monitoring and logging, a written incident response plan, and annual board reporting. Metro Point IT implements all of these.
What is SOC 2 and does my firm need it?
SOC 2 demonstrates your organization maintains effective security controls over customer data. Not legally required, but increasingly demanded by enterprise and institutional clients. If you manage institutional assets or work with large RIAs, SOC 2 Type II gives significant competitive advantage and reduces insurance premiums.
How do you protect client financial data on our network?
Defense-in-depth — next-gen endpoint protection, MFA on all accounts, encrypted communications, network segmentation, real-time threat monitoring, and regular penetration testing. Employee security training is included because phishing remains the most common entry point for financial sector breaches.
What happens if our firm experiences a data breach?
Under the updated Safeguards Rule, notify the FTC if 500+ customers are affected. SEC-registered firms must disclose material incidents within 4 business days. Metro Point IT's incident response plan defines exactly what to do, who to notify, and how to document the response.