Financial Services
Compliance-first technology for fiduciary excellence.
Your clients trust you with their financial futures. We help you maintain that trust with technology that's secure, compliant, and designed for the unique demands of investment advisory.
Financial Services Demands More
Generic IT solutions fall short in financial services. You need technology partners who understand fiduciary responsibilities, regulatory landscapes, and the critical importance of data security and business continuity.
Challenges We Solve
Financial services organizations face unique technology challenges that require specialized expertise
SEC/FINRA Compliance
Meeting rigorous regulatory requirements while maintaining operational agility and client service excellence.
Audit Trail Requirements
Maintaining comprehensive, tamper-proof records of all communications and transactions for regulatory examination.
Data Retention Mandates
Storing and managing years of communications, documents, and transaction records in compliance with regulations.
Client Data Protection
Safeguarding sensitive financial information and personal data against increasingly sophisticated threats.
Multi-Custodian Integration
Connecting securely with multiple custodians, portfolio management systems, and financial data providers.
Business Continuity
Ensuring continuous operations and data availability even in the face of disasters or cyberattacks.
Financial Services Solutions
Purpose-built technology services that address the unique needs of financial organizations
SOC 2 Compliance Programs
End-to-end SOC 2 Type I and Type II compliance support, from readiness assessment through audit.
Email Archiving & Supervision
SEC-compliant email archiving with supervision capabilities for regulatory review requirements.
Secure Client Portals
Encrypted client communication and document sharing portals that meet compliance requirements.
Business Continuity Planning
Comprehensive disaster recovery and business continuity plans tested and documented for regulatory review.
Vendor Risk Management
Due diligence frameworks and ongoing monitoring for your technology vendor ecosystem.
Cybersecurity Insurance Alignment
Technology controls mapped to cyber insurance requirements to optimize coverage and reduce premiums.
Compliance Frameworks We Support
We help financial services organizations navigate complex regulatory requirements with technology solutions designed for compliance.
SOC 2 Type I & II
Trust service criteria compliance
SEC Rule 17a-4
Records preservation requirements
FINRA Rules
Broker-dealer compliance
State Privacy Laws
CCPA, NYSHIELD, and more
We Serve
Registered Investment Advisors
Wealth Management Firms
Independent Broker-Dealers
Family Offices
Financial Planning Practices
Investment Consultants
Multi-Family Offices
Hybrid RIAs
Audit-Ready, Always
When examiners come calling, you need to be ready. Our systems and documentation are designed to support regulatory examinations and audits.
- Complete audit trail documentation
- Rapid evidence gathering capabilities
- Policy and procedure libraries
- Examiner question support
- Remediation planning and tracking
Proactive Compliance
We monitor regulatory changes and help you stay ahead of new requirements.
Documentation Management
Organized, accessible documentation ready for examination.
Gap Analysis
Regular assessments to identify and address compliance gaps before they become findings.
Why Financial Services Firms Choose Techvera
Compliance Expertise
Deep understanding of SEC, FINRA, and state regulatory requirements.
Security-First
Enterprise-grade security protecting your clients' sensitive financial data.
Growth-Focused
Technology that scales with your AUM and client base growth.
Case Study
Wealth Management Firm Achieves Zero Security Incidents
A growing wealth management firm partnered with Techvera to transform their security posture and compliance program. The results: zero security incidents, successful SOC 2 Type II certification, and 99.9% system uptime across all operations.
0
Security Incidents
SOC 2
Type II Certified
99.9%
System Uptime
“Techvera didn't just check the compliance boxes. They built a security program that our clients and auditors trust completely. Zero incidents, SOC 2 certified, and our systems are always up. That's the standard we needed.”
Let's discuss how our compliance-focused IT solutions can help your firm better serve clients and meet regulatory requirements.