Compliance for credit unions, broker-dealers, and investment firms.
Auditerra helps financial institutions, credit unions, broker-dealers, and investment advisers manage regulatory expectations, cybersecurity controls, and examination readiness.
What makes Financial Services complex
Compliance in this industry is documentation-heavy, evidence-driven, and unforgiving of gaps. Below are the operational realities that turn vertical compliance into a full-time program rather than an annual checkbox.
Auditerra helps teams move from scattered spreadsheets to a structured compliance program — with shared evidence, clear ownership, and audit-ready documentation.
SEC Regulation S-P Expansion
Amended Reg S-P now requires broker-dealers and investment advisers to notify customers of data breaches within 30 days and maintain comprehensive incident response programs. Most firms operate under 2000-era controls.
Credit Union NCUA Expectations
NCUA examiners are applying ACET scoring with increasing rigor. Credit unions face cybersecurity maturity assessments and ransomware preparedness evaluations during regular examinations.
Cross-Regulatory Complexity
Investment managers often operate under simultaneous obligations from SEC, FINRA, NFA, and state securities regulators. Coordinating programs without duplication requires enterprise-grade tooling.
Every framework your organization is accountable to
Auditerra maps controls across every framework simultaneously — one evidence artifact satisfies multiple requirements.
Auditerra maps controls across all applicable frameworks simultaneously — one evidence artifact satisfies multiple requirements.
The cost of non-compliance is not theoretical
Built for the way Financial Services teams actually work
Six purpose-built workflows that turn compliance obligations into structured programs.
Regulation S-P Compliance Program
Pre-built incident response, customer notification, and recordkeeping workflows aligned to the amended Reg S-P 30-day rule.
FFIEC / NCUA Assessment Automation
Automated FFIEC CAT and NCUA ACET scoring with maturity tracking, examination evidence libraries, and findings remediation.
Written Supervisory Procedures Builder
Generate and maintain WSPs aligned to FINRA rules with auto-versioning, principal sign-off, and audit trails.
SEC 4-Business-Day Incident Disclosure
Material cybersecurity incident workflow with disclosure timing controls, 8-K templates, and counsel review steps.
Third-Party Vendor Risk Management
Continuous vendor risk monitoring with critical-vendor classification, SOC 2 evidence collection, and concentration risk analytics.
SOC 2 for Institutional Credibility
Build a SOC 2 program that satisfies institutional client due diligence and pension-fund vendor onboarding.
Our NCUA examiner cited it as one of the most organized cybersecurity programs they'd reviewed. The ACET automation took us from Baseline to Evolving maturity in 6 months.
Pass your next regulatory examination with zero cybersecurity findings.
Our $990 financial services readiness check maps your FFIEC, NCUA, FINRA, and SEC obligations before regulators find the gaps.