Iron Bridge serves registered investment advisers through two complementary engagements: a one-time assessment that establishes an objective baseline before an SEC exam, and an ongoing governance retainer that maintains a permanent state of examination-readiness. Each is built to produce examiner-ready work product.
Both tiers pair continuous technical scanning with formal governance reporting — translating technical findings into the business-risk language your board and your examiner expect.
Full external and internal network scanning to identify unpatched software, misconfigurations, and open ports across your environment.
Automated review of your cloud environment against CIS benchmarks — critical for RIAs, since nearly all run on cloud infrastructure.
A formal governance review mapped directly against the NIST Cybersecurity Framework and SEC Regulation S-P requirements.
A polished, client-ready report translating technical gaps into business risk — giving you an exact punch list to execute against.
Regular technical scanning of infrastructure and cloud applications to confirm your MSP is actively patching and maintaining security posture.
Custom-tailored Information Security Policies, Incident Response Plans, and Acceptable Use Policies, housed and version-controlled in our centralized GRC platform.
Automated tracking and review of your third-party vendors — custodians, CRM platforms, and the MSP itself — to satisfy strict SEC due diligence mandates.
Executive-level risk and compliance dashboards showing continuous improvement, ready to hand directly to an examiner during a sweep.
Monthly strategy calls with your Chief Compliance Officer, board presentation materials, and ad-hoc guidance for security questionnaires.
A continuously maintained record of policies, assessments, and remediation activity — so the documentation an examiner requests already exists.
The two tiers are designed to connect. The assessment surfaces what needs attention; the retainer executes the roadmap and keeps your firm in a permanent state of audit-readiness.
The SEC Readiness Assessment gives you an objective, independent picture of your current risk profile — including gaps your firm may not have known existed.
At the close of the assessment you receive a prioritized remediation roadmap — a clear, ordered punch list translating technical findings into business decisions.
The Core Cyber Governance Retainer executes that roadmap and sustains it — continuous monitoring, living policies, and examiner-ready reporting, quarter after quarter.
Whether you need an objective assessment before your next exam or a permanent governance program, the first step is a short conversation about your firm.
Schedule a Consultation