Compliance Readiness Assessment Overview | Solanasis
Your cybersecurity controls look fine on paper. Will they hold up when someone checks?
Your Cybersecurity Controls Look Fine on Paper. Will They Hold Up When Someone Checks?
Most wealth management firms have some security in place. The problem is that "some" and "enough" are very different things; you probably don't know which one describes your firm until it's too late.
The Blind Spots We Find Most Often
Backups nobody has tested
Automated backups create false comfort. If you've never restored from backup and timed the process, you don't have disaster recovery. You have hope.
Vendor access nobody tracks
Your cloud platforms, CRM, and accounting software all touch sensitive client data; most firms can't say exactly who has access to what.
Documentation that doesn't match reality
A WISP last updated two years ago is not evidence of a working security practice. It's a snapshot of good intentions that may have drifted.
Incident response never rehearsed
Imagine your team facing a real breach without ever rehearsing the response; the first real incident will expose every gap at once.
10-Day Compliance Readiness Assessment
Fixed scope. Fixed fee. Minimal disruption.
What we do
- ✓Gap analysis mapped to what SEC and state securities examiners actually look for
- ✓Real disaster recovery test. We restore your data and prove it works
- ✓Vendor risk review against regulatory service provider requirements
- ✓Prioritized readiness roadmap you can actually execute
What you get
- •Gap analysis with regulatory mapping
- •Risk register: prioritized, evidence-backed
- •90-day readiness roadmap with owners and deadlines
- •Readiness maturity scorecard
- •Disaster recovery report and restore runbook
- •Executive summary for leadership
How We Fit
We coordinate with your compliance consultant and your IT provider. We handle cybersecurity verification, disaster recovery testing, and technical remediation. We replace no one.
What Happens Next
Take the plan and run. The deliverables are yours. Execute independently with your existing team.
Remediation sprint. We close the top gaps in 2-4 weeks. Fixed scope, fixed fee.
Fractional Cybersecurity Partner. Ongoing oversight so your posture doesn't drift back to where it started.
No email required. Just download it.
Share this resource: