SEC, NFA & FINRA Audits; we are ready when you are!
The professionals at PromeroMDR are completely committed to you and your business’ SEC, NFA & FINRA audit success. Regardless of whether you represent the private sector or the public sector, we stand ready to partner with your organizations.
Our competition may want to keep you and your employees in the dark where security, risk, privacy and governance are concerned hoping to conceal their methodology and expertise. We don’t prescribe to that philosophy.
We believe the best approach is transparent and built on a partnership developed on trust and credibility.
PromeroMDR Compliance’s primary purpose is to help organizations attain, maintain, and demonstrate compliance and information security excellence – in any jurisdiction. PromeroMDR Compliance specializes in IT security, risk, privacy, governance, cyberspace law and SEC, NFA & FINRA audit compliance leadership solutions and is fully dedicated to global success in these disciplines. We can help your organization too! Our client’s come from all business sectors across the world.
Your PromeroMDR Assessment team will:
You need to expand your business’ cloud services into government markets while minimizing performance and operational risks. Accomplish this with our industry-leading, innovative, and cost-effective FedRAMP 3PAO services.
FedRAMP is a program that enables cloud services providers (CSPs) to meet and demonstrate the security requirements embedded with FISMA and the NIST publications so that an agency may outsource with the confidence that its cloud service provider is meeting those requirements.
PromeroMDR provides FedRAMP, FISMA and NIST 3PAO advisory and assessment services for public, private, community, and hybrid cloud service offerings, including Software as a Service (SaaS), Platform as a Service (PaaS) and, Infrastructure as a Service (IaaS).
- PromeroMDR Compliance SEC, NFA & FINRA audit process initially takes just a few weeks from start to completion to baseline your organization depending on your team’s availability. We are cognizant that our clients have full time, everyday obligations in addition to dealing with auditors so we are flexible to your needs and work around your schedule to provide a quality audit and report in the time frame you desire.
- Introduced you to PromeroMDR’s Proactive Cyber Security™ methodology and operating procedures.
- Set expectations for the future audit, including time commitments that may be necessary from key client personnel.
- Provide you with sufficient time to remediate any gaps in the control structure.
- Provide you with direct access to obtain immediate responses from PromeroMDR professionals regarding the impact potential changes to services or controls may have on the upcoming audit.
- Ensure that you will have sufficient time to remediate any gaps in the control structure.
- Ensure that you will have access to obtain immediate responses from PromeroMDR Compliance professionals regarding the impact potential changes to services or controls may have on the upcoming audit.
- The scope of the subsequent audit, and specifically the control objectives and related control activities, are refined based upon the PromeroMDR Readiness Review
- A significant differentiator you will immediately appreciate is our Proactive Cyber Security™ SEC, NFA & FINRA audit methodology which take a continuous audit approach rather than the end of reporting period Audit Anarchy approach by other firms. We will also utilize our proprietary IT Audit Machine technology to set you up for success. The IT Audit Machine is a full-featured and highly collaborative assessment and reporting tool only available from PromeroMDR and Continuum GRC.
- PromeroMDR creates sustainable SEC, NFA & FINRA audit partnerships with our clients. We have a proven methodology and project plan that helps our clients achieve compliance on budget and on schedule. You will come to appreciate our Service, Integrity and Reliability which will be apparent to you from the very first call.
Start working smarter, not harder today ...
The SEC, NFA and FINRA professionals at PromeroMDR are completely committed to you and your business’ compliance success. Regardless of whether you represent the private sector or the public sector, we stand ready to partner with your organizations.
Service Engagement Specifics
The PromeroMDR SEC, NFA & FINRA audit assessment will be conducted utilizing the current SEC, NFA & FINRA audit standards outlined in the COSO, SEC, NFA and FINRA frameworks so you will be completely current with the industry standard specified by the SEC, FINRA and the PCAOB.
You don’t just get certified, you get PromeroMDR certified!
Through the successful completion of hundreds of audits around the world for organizations of all sizes, PromeroMDR has developed an efficient methodology and proprietary assessment protocols to evaluate the controls in place at your organization.
Leveraging the Continuum GRC IT Audit Machine, Security Trifecta methodology and the Policy Machine, PromeroMDR provides international standards that are recognized as “Best Practices” for developing organizational security standards and controls that support SEC, NFA & FINRA audit certifications.