Clients We Serve
QVIA works with regional and community banks, credit unions, registered investment advisors, broker-dealers, insurance carriers, and fintech companies across growth stages — from Series A platforms building infrastructure for the first time to established institutions hardening what they've built over decades. The regulatory frameworks overlap. The infrastructure challenges and risk profiles don't always match.
Early Stage
A fintech company processing payments or managing client assets faces the same regulatory requirements as an institution with fifty years of operating history. GLBA applies. PCI DSS applies. If you're handling investment accounts, SEC and FINRA apply too.
QVIA builds the right infrastructure and compliance foundation from the start — so the first SOC 2 audit, the first enterprise client, and the first regulatory examination don't surface gaps that didn't have to exist.
The Challenge
Financial institutions are among the most actively targeted organizations in any sector. Ransomware, business email compromise, credential theft, and wire fraud aren't theoretical risks. The infrastructure protecting client assets and transaction systems has to be hardened before the event, not patched after it.
GLBA, PCI DSS, SOX, SEC cybersecurity disclosure rules, FINRA examination standards, and state-level regulations are layered, overlapping, and updated on irregular schedules. Meeting last year's requirements doesn't guarantee compliance with this year's. Organizations that treat compliance as a one-time exercise get caught when the rules move.
Trading systems, payment rails, client portals, and core banking platforms are not optional. When they're unavailable — for any reason — clients notice, regulators ask questions, and revenue stops. High availability and rapid recovery aren't optional features. They're the baseline.
Solutions
Financial institutions face a distinct combination of threat exposure, regulatory obligation, and operational requirement. These are the four areas where QVIA delivers for this vertical.
Core banking, trading, payment processing, and client portal infrastructure designed for high availability — monitored continuously and recovered rapidly. We build and manage financial infrastructure with the redundancy and response capability the sector requires.
Financial sector adversaries are organized, well-funded, and highly motivated. Zero trust architecture, continuous monitoring, and a 24/7 SOC that understands financial environments — not generic enterprise security — is the standard QVIA operates to for this vertical.
SEC, FINRA, SOX, GLBA, and PCI DSS each carry distinct controls, documentation requirements, and examination standards. We translate those requirements into working programs — not paper policies — and maintain them as the regulatory environment changes.
Every account, every record, every transaction system requires a verified, documented access policy. We implement IAM frameworks that satisfy regulatory access control requirements and produce the audit trail that withstands examination — across on-premises, cloud, and hybrid environments.
Compliance Focus
Public companies and registered advisors managing material cybersecurity risks under the SEC's amended disclosure and governance requirements.
Broker-dealers and registered firms subject to FINRA examination standards for cybersecurity, business continuity, and data governance.
Publicly traded companies and their service providers required to maintain and attest to effective internal controls over financial reporting.
Financial institutions subject to FTC Safeguards Rule requirements for protecting consumer financial information.
Any organization accepting, processing, storing, or transmitting payment card data across any channel or platform.
Whether you're building infrastructure from scratch or hardening an existing environment, we'll start with an honest assessment.
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