Financial Advisors

At Guarded, we offer comprehensive cybersecurity compliance services designed to meet the unique needs of your business. Our services include:

Compliance Assessment: We evaluate your current compliance status against industry standards and regulatory requirements, identifying gaps and providing a roadmap for achieving compliance.

Regulatory Alignment: Our team ensures your business is aligned with specific regulations such as FTC Data Safeguards, FINRA, SEC, or PCI DSS, and stays informed about changing regulatory landscapes.

Policy and Procedure Development: We develop customized policies and procedures tailored to your organization's specific needs.

Employee Training: We provide training for your staff on compliance requirements and best practices, reducing the risk of non-compliance due to human error.

Compliance Reporting and Documentation: Our services include generating audit-ready reports and documentation for regulatory authorities.

Ongoing Compliance Management: We offer regular assessments and updates to ensure your business remains compliant over time.

Our goal is to simplify the compliance process for you, integrating robust security measures to enhance your overall protection while ensuring you meet all necessary regulatory requirements.

We conduct thorough assessments to align with regulations set by bodies like FINRA or the SEC. Our services include regular updates to ensure ongoing compliance with these evolving standards.

At Guarded, we protect sensitive financial client data through robust encryption, strict access controls, regular compliance audits, staff cybersecurity training, secure IT infrastructure, a comprehensive data breach response plan, and transparent data privacy policies, ensuring adherence to data protection laws.

Yes, we provide comprehensive support for compliance audits, including preparation, response, and necessary reporting. Our team ensures that all documentation and processes meet the required standards for audits.

We proactively monitor regulatory changes in the financial sector, ensuring our services and your practices remain compliant. This includes regular updates and modifications to policies and procedures as needed.

We offer specialized training programs and resources focused on industry standards and compliance requirements. These include workshops, e-learning modules, and regular updates on best practices.

Our compliance services are designed for seamless integration with existing systems and processes. We work closely with your team to ensure our solutions complement and enhance your current operational framework.

Our approach involves a comprehensive risk assessment to identify potential compliance risks, followed by the implementation of tailored risk management strategies to mitigate these risks effectively.

We have a track record of assisting financial advisors with compliance. This includes helping them navigate complex regulatory landscapes, implementing effective compliance strategies, and providing ongoing support to maintain compliance standards.