Financial Services Security Checklist
The controls examiners and auditors actually check — SOX & governance, PCI-DSS, GLBA safeguards, fraud prevention, and access & audit logging. All in one free PDF.
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What's Inside
Five practical sections covering the financial-services controls that come up in every PCI, SOX, and GLBA review.
SOX & Governance Controls
Change management, segregation of duties, and audit trails — the governance controls that keep financial reporting defensible.
PCI-DSS Requirements
Cardholder data protection, network segmentation, and scanning — mapped to concrete controls for any team touching payments.
GLBA Safeguards
Customer-data protection, risk assessment, and service-provider oversight to meet the Safeguards Rule expectations.
Fraud Prevention
Monitoring, anomaly detection, and transaction controls to catch fraudulent activity before it becomes a loss.
Access & Audit Logging
Least privilege, MFA, and immutable logs across your app, cloud, and internal tooling — the evidence auditors ask for.
Who This Checklist Is For
Built for financial-services teams protecting customer data and preparing for audits.
Fintech Security & Compliance
mapping controls to PCI, SOX, and GLBA
IT & Risk Leaders
closing gaps before the examiner does
CFOs & Finance Ops
protecting customer and payment data
Frequently Asked Questions
Who is this financial services security checklist for?
Fintech security and compliance teams, IT and risk leaders, and finance operations at banks, lenders, payment companies, and financial-services firms — whether you're preparing for a PCI assessment, a SOX audit, or hardening customer-data protection. It's written to be practical for teams of 10-200.
Is the checklist really free?
Yes — 100% free, no credit card, no sales call required. Enter your work email and the PDF downloads immediately. We may occasionally send you relevant security and compliance content, and you can unsubscribe any time.
How does this relate to PCI-DSS, SOX, or GLBA audits?
The controls in this checklist map closely to what PCI assessors, SOX auditors, and GLBA reviewers ask for. Working through it is a strong head start on all three — and it helps you spot gaps before an assessor does.
Free 30-minute call
Check Your Firm Against the List
Book a free 30-minute call. Tell us how your firm handles client data and access, and we'll go through the checklist items that matter most.
No commitment. Video call or phone, whichever you prefer. Run by senior engineers, serving clients since 2014.
What you leave the call with
- Where client data is most exposed
- What regulators and clients expect
- A senior engineer, not a salesperson
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