S3

We provide executive-level, fractional leadership to banks, credit unions, fintechs, asset managers, and other financial institutions navigating complex regulatory, cybersecurity, and technology risk landscapes. Our services are designed to strengthen control environments, support regulatory compliance, and enhance operational resilience—without the cost of a full-time executive 

Technology Risk Management
We design and enhance technology risk frameworks aligned to regulatory expectations (e.g., FFIEC, OCC, SEC, FINRA). Our services include risk assessments, control design and testing, third-party risk management, and governance structures that support effective oversight and reporting.

Cyber Risk & Information Security Oversight
We provide strategic cybersecurity leadership to safeguard sensitive financial data and critical systems. Services include cybersecurity program development, risk assessments, incident response planning, ransomware readiness, and alignment to frameworks such as NIST and ISO 27001.

Technology Compliance & Regulatory Readiness
We help institutions prepare for and respond to regulatory exams and audits. Our support includes control mapping, policy development, issue remediation, and ongoing compliance monitoring to meet requirements such as SOX ITGC, GLBA, and evolving cyber regulations.

Operational Resilience & Business Continuity
We strengthen resilience against disruptions through business continuity planning, disaster recovery strategies, and scenario testing aligned to regulatory guidance and industry best practices.

Fractional Officer Leadership (vCISO / vCIO / vCTO)

We serve as trusted advisors to executive teams and boards, delivering strategic direction, regulatory-facing leadership, and program oversight. We help translate technical risk into business impact and ensure alignment with enterprise risk management.

• Regulatory-Aligned Expertise – Deep understanding of financial services regulations and examiner expectations 
• Board & Regulator Ready – Clear, defensible reporting and governance structures 
• Practical, Risk-Based Approach – Focus on material risks and sustainable controls 
• Flexible Engagement Model – Scale support based on exam cycles, growth, or transformation initiatives

• Community and regional banks 
• Credit unions 
• Fintech and payments companies 
• Asset and Wealth Management firms 
• Broker-Dealers and Registered Investment Advisors