IT for Financial Services
Financial services firms face the strictest regulatory requirements and the highest cybersecurity risks of any industry.
At a glance
SEC Rule 206(4)-9, FINRA cybersecurity expectations, SOC 2 demands from institutional clients, and attackers who specifically target firms handling high-value financial data.
LayerLogix provides managed IT and cybersecurity built for the unique compliance, security, and operational demands of Houston's financial services sector — from boutique RIAs and family offices to growing fintech companies and multi-office wealth management firms.
Financial services IT · One advisory office
A day at the firm, before and after we step in
Follow one Houston advisory office through a working day: a client file, retained messages, an advisor on the road and a wire request after lunch. Tap a lens to dive in, use the arrows, or let it play.
Before & after · One advisory office
Your trading day, with the gaps lit up
Pre-market prep in the CRM, a client review at 10:30, a quick note from a client over lunch, a wire request after 2 and an advisor finishing up from home. Flip between before and after to see where the gaps hide in an ordinary day, and what we change.
What LayerLogix does
- Walk through a normal day with your team and note every gap
- Map each gap to the SEC, FINRA or state rule it touches
- Fix what's most exposed first and document every change
Stop 1 · The household file
Account numbers try to leave. Policy holds them.
A household file carries what thieves want most: Social Security numbers, account numbers, beneficiaries. We encrypt it at rest and in transit, and write data loss rules that catch it heading out by email or onto a USB stick. A lost laptop that's encrypted shows scrambled data.
What LayerLogix does
- Encrypt client data at rest and in transit
- Write DLP rules that spot SSNs and account numbers
- Keep an audit trail of who opened which client file
Audit trail
09:02 Adv 2 opened Client A
09:05 Ops viewed acct
09:11 DLP held SSN email
Stop 2 · Communications you have to keep
Client messages captured, indexed and kept on record
SEC and FINRA recordkeeping rules expect you to keep business communications and supervise them. We set up archiving that captures email and approved messaging as it happens, indexes it, stores it where it can't be edited, and lets your compliance lead pull a thread when an examiner asks.
What LayerLogix does
- Deploy email archiving with immutable storage
- Set supervision rules that flag messages for review
- Build e-discovery searches your compliance lead can run
Supervision
Captured · indexed
Reviewed · no flag
Archive search
Client A · MAR
1 new thread filed
Client A · email
“Can we move the annual review to Thursday?”
Stop 3 · Advisors working remotely
Work from anywhere, and get checked at each sign-in
Advisors meet clients at their kitchen tables, finish up from home and travel. We put a hardware security key on each advisor's keychain, let only managed, encrypted devices reach client systems, and check each session. A stolen password alone isn't enough to sign in.
What LayerLogix does
- Roll out FIDO2 security keys for phishing-resistant MFA
- Write conditional access rules for devices and locations
- Swap standing admin rights for just-in-time access
Stop 4 · Money movement
A wire request gets a phone call before it gets money
The riskiest email in your inbox asks you to send money somewhere new. We set up email authentication on your domain, then build verification into the workflow itself: a callback to the number already on file and a second approver before anything is released.
What LayerLogix does
- Publish DMARC, DKIM and SPF so your domain is harder to fake
- Build callback and dual approval into the wire workflow
- Train your team to spot business email compromise
From: Advisor 2 · YOUR DOMAIN (forged)
Wire for Client A today
Client's traveling. Use the new account below. No need to call.
After · The exam request
The exam letter arrives, and the binder's already full
Examiners ask for written policies, your annual risk assessment, the incident response plan, retained messages and proof your continuity plan was tested. Before, that's a scramble through inboxes and old folders. After, most of it comes from systems you already run.
What LayerLogix does
- Keep written policies and the risk assessment current
- Test your continuity plan and write up the results
- Support you through the exam with the evidence in hand
Showing Before & after · One advisory office: Your trading day, with the gaps lit up
What We Offer
Comprehensive solutions tailored for Houston-area businesses
SEC & FINRA Compliance IT
Implement the technical controls required by SEC Rule 206(4)-9, FINRA cybersecurity requirements, and Regulation S-P. Email archiving, communication monitoring, data retention policies, and access controls that satisfy regulatory examinations.
Secure Client Data Management
Financial client data — portfolio details, Social Security numbers, bank accounts, and transaction histories — is the highest-value target for cybercriminals. We implement encryption at rest and in transit, role-based access controls, DLP policies, and audit trails for every data touchpoint.
Business Continuity & Disaster Recovery
SEC and FINRA require documented business continuity plans. We design and test DR infrastructure that meets regulatory standards — immutable backups, geographic redundancy, tested failover procedures, and documented RTOs that satisfy your compliance examiner.
Secure Communication Platforms
Financial services firms need encrypted, archived communication channels that satisfy SEC recordkeeping requirements. We implement compliant email archiving, encrypted messaging, and secure client communication portals with full audit trails.
SOC 2 Compliance for Fintech
Fintech companies and financial service providers increasingly need SOC 2 Type II certification to win institutional clients and partnerships. We implement all five Trust Service Criteria controls and prepare your evidence package for assessment.
Zero Trust & Identity Security
Financial services environments require the strictest access controls. We implement zero trust architecture — verify every user, every device, every session. Conditional access, privileged access management (PAM), FIDO2 MFA, and just-in-time admin access.
Why Choose LayerLogix?
Serving businesses throughout the Greater Houston area including Houston, The Woodlands, Spring, Katy, Sugar Land, Galleria, Downtown Houston.
Pass Regulatory Examinations
When SEC or FINRA examiners review your cybersecurity controls, you need documented policies, technical controls, and evidence of ongoing compliance. Our documentation and control implementation is designed for examination readiness.
Protect High-Value Client Data
Financial services firms are the #1 target for cybercriminals — 300x more likely to be attacked than other sectors. Our security stack is calibrated for the specific threats targeting financial data: BEC, credential theft, insider threats, and ransomware.
Client Confidence & Competitive Edge
High-net-worth clients and institutional investors evaluate your cybersecurity posture before entrusting you with their assets. Demonstrable security maturity differentiates you from competitors who can't prove their controls work.
Reduce Cyber Insurance Premiums
Financial services firms face the highest cyber insurance premiums. Our security controls — EDR, MFA, encrypted backups, and documented incident response — satisfy insurer requirements and qualify you for meaningful premium reductions.
Scalable for Growth
Whether you're a 5-person RIA or a 200-person wealth management firm, our infrastructure scales with you. Add advisors, open new offices, and onboard clients without rebuilding your IT foundation.
Our Process
In finance, the examiner shows up before the attacker does
RIAs, wealth managers, and fintechs sit on some of the highest-value data there is, under overlapping regulators who now demand provable controls, not policy binders. Here is how we map technology to the exact pressures a Texas financial firm faces.
A spoofed advisor email reroutes a client wire, and the funds are gone before anyone calls.
Enforced DMARC, DKIM, and SPF plus dual-authorization, out-of-band callback verification on every transfer are designed to catch fraudulent instructions before funds move.
Attackers reach customer records and you cannot prove when, what, or who was exposed.
A written incident response program with EDR, full audit logging, and 24/7 monitoring detects the intrusion and supports the rule's 30-day notice to affected individuals.
Unencrypted client data and shared admin logins surface in your first FTC examination.
Phishing-resistant MFA, encryption at rest and in transit, and least-privilege access map directly to the safeguards named in subsection (c).
Ransomware locks your portfolio and CRM systems during market hours with clients waiting.
Immutable, geographically redundant backups with tested failover and documented RTOs restore mission-critical operations and evidence your BCP at exam.
Frequently Asked Questions
What financial services firms do you support?▼
What SEC cybersecurity requirements apply to us?▼
Do you handle email archiving for compliance?▼
How do you protect against wire fraud?▼
Can you help with client-facing cybersecurity documentation?▼
Do you provide IT for Financial Services in Houston and nearby areas?▼
What does IT for Financial Services cost for a Houston business?▼
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Ready to Get Started?
Contact LayerLogix today for a free consultation. We serve businesses throughout Houston, The Woodlands, Spring, and the surrounding Greater Houston area.