Financial Services

SOC 2 Compliant SharePoint for Financial Services

Secure, compliant SharePoint solutions designed for banks, investment firms, and financial institutions. Meet regulatory requirements while improving operational efficiency.

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Financial Services Capabilities

Purpose-built SharePoint solutions that address regulatory requirements and security demands of financial institutions.

SOC 2 Compliance

Fully compliant implementations with comprehensive audit trails, access controls, and security monitoring.

Secure Client Portals

Build secure portals for client document exchange, account management, and secure communications.

Regulatory Document Management

Organize and manage compliance documentation with automated retention and disposition policies.

Audit Trail Management

Complete visibility into document access, modifications, and approvals for regulatory audits.

Financial Solutions We Deliver

From client portals to compliance management systems, we build SharePoint solutions that meet the stringent requirements of financial services.

Client Document Portals
Loan Processing Workflows
Compliance Documentation Systems
Investment Research Libraries
Regulatory Reporting Dashboards
Risk Management Platforms
Board Meeting Management
Secure File Sharing for PII

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Case Study

Regional Investment Bank

Challenge:

A mid-size investment bank needed to modernize their document management while meeting SEC and FINRA compliance requirements.

Solution:

Deployed SharePoint Online with custom compliance workflows, automated retention policies, and secure client collaboration spaces.

Results:

95% faster document retrieval
Zero compliance findings in 3 consecutive audits
60% reduction in manual compliance tasks
Unified platform for 500+ advisors

Financial Services SharePoint FAQs

Common questions about compliance and SharePoint for financial institutions.

Is SharePoint SOC 2 compliant?

Microsoft SharePoint Online is part of Microsoft 365 which maintains SOC 2 Type 2 certification. However, your implementation must be properly configured to maintain compliance. We specialize in configuring SharePoint with the security controls, access management, and audit capabilities required for SOC 2 compliance.

How do you handle SEC and FINRA requirements in SharePoint?

We implement comprehensive retention policies that meet SEC Rule 17a-4 and FINRA requirements. This includes immutable storage options, automated retention schedules, legal holds, and complete audit trails. Our solutions also support the supervision and review requirements for electronic communications.

Can SharePoint support secure client document exchange?

Yes, we build secure client portals with external sharing controls, multi-factor authentication, sensitivity labels, and encryption. Clients can securely access their documents, sign agreements digitally, and communicate with advisors through a branded, compliant interface.

How do you protect PII and financial data in SharePoint?

We implement multiple security layers including Microsoft Purview sensitivity labels for automatic classification, DLP policies to prevent data leakage, encryption at rest and in transit, conditional access policies, and comprehensive audit logging. All PII access is monitored and logged for compliance.

What compliance reporting does SharePoint provide?

SharePoint with Microsoft Purview provides detailed compliance dashboards, activity reports, access audits, and eDiscovery capabilities. We configure custom reports for regulatory requirements and can integrate with your GRC platform for centralized compliance monitoring.

Ready to Modernize Your Financial Operations?

Get a free compliance assessment and discover how SharePoint can improve your financial services operations.

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