Phone:  515-954-7774

Broker Dealer Audit Services

Computer Security Policy Audits Made Easy


Audit and verify field force compliance with your computer security policies without adding to the workload of your current staff.


Field force compliance with your written policies is an important component in keeping your reps, their clients and the Broker Dealer protected from loss and litigation. Unfortunately, in today's world it is a number one priority, along with the ten other number one priorities you have on your plate.


Auditing and the necessary follow-up monitoring of field force computers can prove burdensome to three areas in a Broker Dealer: Audit, Compliance and IT. Our system allows you to outsource these tasks. Using our sophisticated and efficient tools we identify the computers which fail to meet your policies, provide a gap analysis to be used to bring the offending computer into compliance and monitor the system to verify it has been brought into compliance.


For your Auditors

The process couldn't be simpler. All that's needed is an email notification from your Audit team to the target field office, letting them know we’ll be contacting them. We coordinate the installation of a one-time use applet on each computer. Your auditors no longer need to spend time analyzing the status of each computer trying to figure out if they are compliant. An area many Auditors feel may be a little outside their area of expertise. The Auditor receives a comprehensive, easy to read report for each computer in the office which clearly delineates any area of failure for inclusion in their report.


For your Compliance Department

Our team follows up with the field office to cover any gaps found in their audit. You receive weekly progress reports which identify any offices not making the necessary progress. Usually a quick email or call is all that's required to get the process back on track. Concentrating only on the occasional laggard frees your compliance to focus on other tasks.


For your IT Department

Once you've communicated your specific policies to us, we take it from there. Your IT group will not have to discuss any of the policies or requirements with the field offices or their outsourced IT support organizations, we take care of all that for you. For those field offices who don't have access to either internal or external resources, we can provide remote support supplied by IT professionals familiar with your requirements and the needs of a small field office.


For your Bottom Line

In most cases the cost of our service is born by the field office with the computers which failed to meet the policy requirements.

Please contact Jay Peters at 515-954-7774 or to arrange for a demonstration of how our service can help make your Broker Dealer safer and more efficient.