Financial services

Controls and evidence, always audit-ready. Run risk, compliance, security and IT operations as one connected, traceable process.

Talk about compliance

Regulators expect proof, not promises

Financial firms must show that controls work, that incidents are handled quickly, and that critical services can withstand disruption. Too often the proof sits in spreadsheets and email, collected by hand before every audit.

We implement ServiceNow risk, compliance, security and IT workflows linked to the same services and assets, so evidence builds up as work happens and you can answer a regulator’s question with live data.

Where we help

  • Continuous control monitoring

    Automated tests on access, change and configuration controls, with failures raised as issues.

  • Risk and compliance

    Regulatory requirements mapped to policies and controls, with assessments and owners.

  • Operational resilience

    Critical business services mapped to the systems and suppliers they depend on.

  • Security operations

    Security incidents and vulnerabilities prioritised by business impact and tracked to closure.

  • IT service management

    Change, incident and problem processes that produce the evidence auditors ask for.

  • Audit management

    Audit plans, fieldwork, findings and remediation in one place.

How it plays out

A quarterly access review runs on the core banking system.

  1. Signal

    The automated test finds a privileged account with no approved owner.

  2. Decision

    The control is marked as failing and linked to the core banking service.

  3. Action

    A risk issue is raised for the system owner with a due date and remediation task.

  4. Record

    The finding, the fix and the evidence are stored for the next regulatory review.

What changes

  • Control status is visible at any time, not just at audit time.
  • Evidence is collected automatically as work happens.
  • Risk, security and IT share one view of critical services.
  • Faster, clearer answers to regulators and auditors.

Related

Let’s map your process

Tell us where work gets stuck. In a 30-minute discovery call we’ll sketch how it could flow.

Book a discovery call