IT & cybersecurity for
financial services.
Diversicom provides managed IT and cybersecurity for financial-services firms nationwide, headquartered in Tampa, FL — built to SEC, FINRA, and SOX requirements. A compliance-first approach that keeps your technology audit-ready and your team productive.
Compliance-first IT for firms where trust is everything
Financial services face overlapping regulatory requirements from SEC, FINRA, SOX, and more. Our compliance-first approach ensures your technology meets every audit requirement while keeping your team productive — for CPA firms, insurance agencies, financial advisors, and the firms that serve them.
SEC, FINRA & SOX alignment
We build your environment to the requirements your regulators and examiners expect — access controls, retention, logging, and encryption — so compliance isn't an afterthought bolted on at exam time.
Data protection & access control
Client financial data is encrypted at rest and in transit, with multi-factor authentication across all systems and access logging so you always know who touched what, and when.
Audit-readiness, year-round
We maintain the audit-ready documentation insurers and regulators ask for — so an SEC exam, FINRA review, or SOX assessment stops being a fire drill and becomes a matter of pulling existing evidence.
Uptime when markets are open
Trading windows, filing deadlines, and tax season don't wait. We monitor 24/7 and engineer toward a 99.9% uptime target so your team stays connected when it counts.
Ransomware & backup resilience
Backups run automatically and are protected against tampering. If the worst happens, our team runs the restore so you recover in hours, not days — recovery time scales with your data volume and tier.
Vendor & third-party due diligence
We manage your software vendors, ISP, and service providers, and keep documentation of the technology controls they touch — ready when a custodian, broker-dealer, or regulator asks about third-party risk.
The controls examiners look for
The same compliance-first checklist we run for financial-services clients — kept current, documented, and ready to show.
- Multi-factor authentication across all systems
- Email archiving and retention compliance
- Audit trail and access logging
- Encrypted data at rest and in transit
- Quarterly penetration testing
- Audit-ready documentation and reporting
A note on compliance
Diversicom is your IT and cybersecurity partner — not your auditor. We build to SEC, FINRA, and SOX requirements and maintain the audit-ready documentation regulators and examiners ask for. That means your compliance team answers with organized evidence instead of scrambling, while the regulatory attestation remains yours to hold.
An exam request shouldn't turn into a fire drill.
Here's the kind of IT and security evidence an SEC or FINRA exam asks for. When it's maintained all year, answering becomes a matter of pulling files.
- 1Written information security policies and proceduresInfoSec-Policies-v4.pdf reviewed Aug 2026Ready
- 2Access reviews for systems that hold client dataAccess-Review-Q3-2026.xlsx quarterlyReady
- 3Evidence of multi-factor authentication and encryptionMFA-and-Encryption-Report.pdf every deviceReady
- 4Incident response plan and test resultsIR-Plan-and-Tabletop-2026.pdf tested Jun 2026Ready
- 5Due diligence on key vendors and service providersVendor-Due-Diligence-2026.pdf updated at renewalReady
- 6Backup and recovery test recordsRestore-Test-Log.pdf latest test Sep 2026Ready
- 7Security awareness training recordsTraining-Records-2026.xlsx all staffReady
Seven requests, seven files. Your team reviews and sends, instead of rebuilding a paper trail under a deadline.
Illustrative. Exam requests vary by firm, regulator and exam type. File names and dates are examples.
The services behind a compliant firm
Financial-services IT isn't one product — it's how our core services come together around your regulatory obligations. Here's where each piece fits.
Cybersecurity
Layered defense built for regulated industries — EDR, 24/7 SOC monitoring, phishing protection, and vulnerability testing that maps to the controls your examiners expect.
Explore CybersecurityBackup & Disaster Recovery
Automated, tamper-resistant backups and a team-run restore process so a ransomware event or outage means recovery in hours, not days — protecting client records and your continuity obligations.
Explore Backup & DRManaged IT
Your full IT department for a flat monthly fee — help desk, 24/7 monitoring, patching, and vendor management — with documentation maintained so nothing about your environment lives in one person's head.
Explore Managed ITLicense & Cloud Cost Optimization
Right-size your software and cloud spend without sacrificing the security tooling compliance requires — so budget pressure never forces a shortcut on controls.
Explore Cost OptimizationFinancial-services IT, answered plainly
Is Diversicom SEC, FINRA, or SOX certified?
How do you help us prepare for a regulatory exam or audit?
What happens to our data if we're hit by ransomware?
Can you support remote advisors and multiple office locations?
Do you handle vendor and third-party due diligence?
Is your uptime target a contractual SLA?
Let's pressure-test your compliance posture
We'll review your current setup against the controls SEC, FINRA, and SOX examiners look for, flag the gaps, and show you exactly what compliance-first IT would look like for your firm — at no cost.