Navigate Financial Regulations with Confidence
SEC examinations. FINRA audits. SOC 2 certifications. Cybersecurity rules. Financial advisors, RIAs, and broker-dealers face relentless regulatory scrutiny. AlignSure simplifies it.
Financial Services Compliance Challenges
Financial services firms face a compliance gauntlet with severe consequences for failures: regulatory sanctions, client loss, and reputational damage.
SEC Examination Readiness
SEC examinations of RIAs require instant access to compliance manuals, policies, Form ADV documentation, and evidence of annual reviews. Most firms scramble for weeks to compile evidence.
"We got 48 hours notice for SEC exam. We couldn't find half our policies." — CCO, RIA
Cybersecurity Rule Compliance
SEC Cybersecurity Rules require written policies, annual risk assessments, incident response plans, and vendor oversight. New rules added breach notification obligations.
"The new SEC cyber rules are 100+ pages. We don't know where to start." — IT Director
FINRA Compliance (Broker-Dealers)
FINRA rules require supervision systems, anti-money laundering programs, books and records retention, and annual compliance testing. Violations result in fines and sanctions.
"FINRA fined us $75K for inadequate supervision documentation." — Compliance Manager
Third-Party Vendor Risk
Financial firms depend on custodians, portfolio management systems, CRMs, and data providers. SEC expects robust vendor due diligence and ongoing monitoring.
"We have 18 vendors with client data access. We can't prove we monitor them." — Risk Officer
SOC 2 for Fintech
Fintech companies serving financial institutions need SOC 2 Type II reports. Achieving certification requires 12+ months of evidence and continuous control monitoring.
"We lost a $5M enterprise deal because we didn't have SOC 2." — CEO, Fintech
Policy & Procedure Maintenance
SEC requires annual policy reviews, board approvals, and distribution to staff. Most firms use static Word documents that become outdated and create exam deficiencies.
"Our compliance manual was last updated in 2021. SEC cited us for it." — CCO
How AlignSure Solves It
SEC and FINRA mapped. Evidence automated. Examination-ready 24/7.
SEC & FINRA Compliance Intelligence
AlignSure maps SEC Investment Advisers Act, SEC Cybersecurity Rules, and FINRA requirements to your operations. Know exactly which rules apply and how to prove compliance.
- Pre-built SEC control library (Advisers Act, Cyber Rules, Marketing Rule)
- FINRA rulebook mapping for broker-dealers
- Automatic updates when SEC/FINRA adopt new rules
Pass SEC Exams with Zero Stress
When SEC examiners request documentation, AlignSure exports everything instantly. Compliance manuals, policies, risk assessments, and audit trails—all generated in seconds.
- One-click SEC examination report export (all required docs)
- Automated evidence collection from Microsoft 365 / Azure
- Audit trail for all policy updates and training completion
Financial Services Vendor Management
Track all vendors with client data access, manage contracts, assess cybersecurity risk, and demonstrate oversight to SEC examiners.
- Centralized vendor inventory with contract repository
- Automated vendor risk scoring (data access + SOC 2 status)
- Annual vendor review workflows with examiner evidence
Financial Firms Using AlignSure
RIAs. Broker-dealers. Fintech companies. Real results.
Mid-Sized RIA ($2B AUM)
Challenge: RIA received SEC examination notice and couldn't locate compliance manual, annual risk assessment, or vendor due diligence documentation.
Solution: AlignSure rebuilt compliance program, automated evidence collection from Microsoft 365, and generated examination documentation in 48 hours.
Result: Passed SEC exam with zero deficiencies. Examiner said "best-organized documentation we've seen."
Fintech Robo-Advisor
Challenge: Fintech needed SOC 2 Type II to sell to enterprise RIAs but had no compliance infrastructure or documentation.
Solution: AlignSure provided SOC 2 control library, automated evidence collection, and coordinated with auditor for Type II examination.
Result: Achieved SOC 2 Type II in 10 months. Closed $8M in new enterprise deals.
Broker-Dealer (FINRA Member)
Challenge: Small broker-dealer struggled with FINRA supervision requirements and couldn't prove annual compliance testing.
Solution: AlignSure created FINRA supervision system, automated testing workflows, and generated audit-ready evidence library.
Result: Passed FINRA exam with 1 minor finding (down from 8 findings previous year).
Family Office
Challenge: Single-family office managing $500M needed to comply with SEC Cybersecurity Rules but had minimal IT resources.
Solution: AlignSure provided SEC Cyber Rule templates, automated risk assessments via Microsoft security tools, and created incident response plan.
Result: Full compliance with SEC Cyber Rules in 90 days with zero additional IT headcount.
Ready to Pass Your Next SEC Exam?
Schedule a consultation. We'll map your regulatory obligations, find the gaps, and show you how AlignSure works.
30-minute consultation • No obligation • Financial services compliance specialists