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Information Systems and Technology Compliance

FFIEC Compliance

With the increased scrutiny and heightened regulation of the Financial Services industry, the Federal and State Government, Office of the Comptroller of the Currency (OCC) and Office of Thrift Supervision (OTS) continue to increase the level of compliance required and amend current compliance standards for financial services organizations. Information Technology compliance requirements continue to evolve and often present great challenges for such institutions.

Control Solutions International is focused on providing expert Information Technology FFIEC Compliance services to financial services firms of all sizes throughout the country. Specifically, we assist compliance and internal audit departments with:

  • Information Technology Audit Services
  • Information Technology Risk Assessments and Review
  • Development of IT Policies and Standards
  • Vulnerability Analyses and Testing
  • Attack and Penetration Testing

To meet the increasing demands of the regulators, our team of expert professionals works closely and seamlessly with you to:

  • Create best practice risk assessments and/or enhance your existing Information Technology risk assessment methodologies in accordance with COBIT/ITEL standards
  • Execute Information Technology Audits and testing to ensure compliance with FFIEC Examination Guidelines
  • Provides Vulnerability Testing services of your internal and external networks utilizing the latest tools and techniques in accordance with FFIEC guidelines
  • Develop written Information Technology policies and procedures which meet FFIEC Standards
  • Identify potential Information Technology control weaknesses in the Information technology infrastructure before an examination and work closely with you to remediate potential areas of concern quickly

Our Information Technology professionals have over 25 plus years of actual IT operational, Security and IT Audit experience with Financial Services Organizations. Contact our Information Technology Compliance experts to learn how we can assist you in meeting the ever changing regulatory challenges of today and of the future.

SSAE16 Compliance

We provide SSAE 16 Compliance solutions that enable your external auditor to provide an unqualified opinion regarding the design, adequacy and operational effectiveness of controls surrounding internal processes and supporting systems.

We work closely with you and your external auditors to provide comprehensive and effective SSAE 16 Compliance support. Areas typically reviewed throughout our work include:

  • Business Processes
  • Application Development and Maintenance
  • Change Control
  • Logical Security
  • Physical Security
  • Environmental Security
  • Computer Operations
  • Backup, Disaster Recovery and Business Continuity
  • Network and Telecommunications

Our team of highly skilled professionals can assist you to:

  • Defining scope in terms of the processes and systems that will be the subject of the SSAE 16 Compliance analysis
  • Conducting pre-assessments, collecting and analyzing existing documentation
  • Defining control and risk environments
  • Performing walkthroughs of the business and IT areas to document relevant processes, control activities and specific risks
  • Summarize results – draft final SSAE 16 Compliance initial summary report

Contact our SSAE 16 Compliance experts to learn how we can assist you.

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