Cybersecurity risk and control assessments
Scoped to the firm’s environment, responsibilities and business priorities.
Cybersecurity for Broker-Dealers
Connect technical controls, supervisory responsibilities and evidence into one defensible program.
Cybersecurity assessments, testing, vendor risk and ongoing advisory for broker-dealers managing FINRA expectations and sensitive customer information.
The operating context
Security decisions must fit the firm.
Broker-dealers depend on communications, customer data, trading and clearing relationships, branch operations and third-party platforms. Cybersecurity must be technically sound and supported by clear ownership, testing and records.
What is at stake
Risks that deserve a connected response.
- Customer information and communications security
- Account takeover and fraudulent transfer attempts
- Branch, remote work and endpoint exposure
- Third-party platform and service-provider dependencies
Relevant capabilities
Cybersecurity services for broker-dealers.
FINRA-focused gap reviews and policy testing
Scoped to the firm’s environment, responsibilities and business priorities.
Penetration testing and vulnerability analysis
Scoped to the firm’s environment, responsibilities and business priorities.
Microsoft 365 and cloud security assessments
Scoped to the firm’s environment, responsibilities and business priorities.
Vendor diligence and ongoing monitoring
Scoped to the firm’s environment, responsibilities and business priorities.
Incident response exercises and vCISO support
Scoped to the firm’s environment, responsibilities and business priorities.
One accountable view
Assessment, action and oversight stay connected.
The Elteni Platform can bring findings, vendors, vulnerabilities, monitoring signals, evidence and remediation into one client view.
Explore the platform →Frequently asked
Questions from broker-dealers.
Can Elteni work with compliance and technology teams?
Yes. We connect technical evidence with governance and supervisory needs so each team understands ownership and next steps.
Can you test whether policies match actual practice?
Yes. Policy testing compares documented requirements with configurations, evidence, interviews and operational activity.
Do you provide recurring oversight?
Yes. Ongoing services can include vCISO guidance, vendor monitoring, vulnerability management, awareness testing and remediation tracking.