Technology Leadership for Financial Services
Security, governance and resilience designed for regulated financial environments, with the documentation and controls clients, auditors and regulators expect.
Built for Regulated Environments
Financial services firms must demonstrate control, not just claim it.
Regulatory Expectations
Technology and cyber risk controls must align with regulatory guidance and client due diligence.
Audit and Evidence
Access reviews, change records and incident processes need documented evidence.
Third-Party Risk
Custodians, platforms and service providers must be assessed and monitored.
Operational Resilience
Client-facing systems require tested continuity and recovery plans.
Advisor and Client Platforms
CRM, portfolio, planning and client portal systems need integration and protection.
Responsible AI
AI must be adopted with model risk, privacy and supervision considerations in mind.
Cybersecurity Concerns in Financial Services
Financial organizations face persistent, well-funded threats aimed at client assets and data.
Microsoft, Google and AWS Use Cases
Platform-agnostic guidance: we design each environment around how financial services organizations actually work.
Microsoft 365
- Purview data classification, retention and eDiscovery
- Conditional access, privileged identity management and audit logging
- Copilot deployment aligned with supervision and data policies
Google Workspace
- Vault retention and eDiscovery for communications
- Context-aware access and security key enforcement
- Gemini adoption with data governance controls
AWS
- Secure, segmented hosting for client-facing applications
- Logging, monitoring and evidence collection for audits
- Resilient multi-region recovery for critical systems
NetSuite: Consolidated financials, approval workflows and clear audit trails across entities. Explore NetSuite
AI Use Cases for Financial Services
Practical, governed AI that saves time without exposing sensitive information. Platforms include Microsoft Copilot, ChatGPT, Claude, Gemini and Perplexity.
Client Meeting Preparation
Summarize client history, portfolios and correspondence before meetings.
Compliance Review Support
Help reviewers check communications and documents against policy.
Research and Market Summaries
Condense research and market commentary into client-ready briefs.
Process Automation
Automate onboarding paperwork, KYC document collection and follow-ups.
How an Engagement Works
Strengthening Governance at a Wealth Management Firm
Illustrative scenario based on common financial services organizations requirements. It does not describe a specific client. Client references are available on request.
The Situation
A wealth management firm is preparing for regulatory and client due diligence reviews. Access controls are inconsistent, evidence is scattered and advisors want to use AI tools.
Our Approach
- Assess controls against regulatory and client expectations
- Implement identity, privileged access and logging controls
- Establish evidence collection and third-party risk processes
- Define AI governance, supervision and approved tools
Outcomes We Target
- Documented, demonstrable controls
- Reduced fraud and account takeover risk
- Faster responses to due diligence requests
- Responsible, supervised AI adoption
How OurIT Supports Financial Services
Financial Services Technology Questions
Do you understand regulatory requirements for financial firms?
We align technology and cyber controls with applicable regulatory guidance and client due diligence expectations, and work alongside your compliance team.
How do you help with audits and due diligence?
We implement and document controls, maintain evidence such as access reviews and logs, and help prepare responses to questionnaires.
Can financial advisors safely use AI?
Yes, with governance: approved tools, data protection, supervision and record retention appropriate to your obligations.
How do you reduce payment and wire fraud?
Through email security, identity protection, verification procedures and training focused on impersonation and payment-change requests.
Where does OurIT support financial services firms?
OurIT is headquartered in British Columbia and supports financial services organizations throughout Vancouver, the Lower Mainland, the Fraser Valley and the Okanagan, and across Canada as they expand into Alberta, Ontario, Quebec and beyond.
Demonstrate Control. Protect Client Assets.
A financial services technology assessment reviews governance, security, resilience and AI readiness.