IT & Cybersecurity for CPA, Tax & Financial Firms
Client identities, account data and the authority to move money across South Florida firms, run and secured as one environment — with the written program the rules require.
Why a financial firm is different
CPA practices, tax preparers, mortgage brokers and advisers hold exactly what criminals want: identities, account numbers and the authority to move money. Many of these firms are also “financial institutions” in the legal sense, with a written security program required by federal rule.
Tax season and closing deadlines leave no room for downtime, and the systems that matter — tax software, client portals, document storage and email — are the ones attackers go after.
The rules that apply
- FTC Safeguards RuleRequires covered firms, which the FTC says include tax preparation firms, mortgage brokers and many non-bank lenders and advisers, to run a written information security program with a Qualified Individual, a risk assessment, multi-factor authentication, encryption and a written incident response plan (16 CFR Part 314)
- IRS expectationsThe IRS states that tax professionals are required by law to have a Written Information Security Plan, and publishes a template for building one (IRS Publication 5708)
- SEC Regulation S-PFor registered advisers and broker-dealers, the amended rule requires a written incident response program and notification of affected customers
- PCI DSSApplies to any firm that accepts card payments
- SOX IT general controlsApply to firms that service public companies or support their reporting
Our guides to the FTC Safeguards Rule and GLBA explain these obligations in plain English. They are educational material, not legal advice or a claim of guaranteed compliance.
What we take care of
- Security programThe written program and risk assessment the Safeguards Rule and the IRS expect, kept current rather than written once
- Qualified Individual supportThe role does not have to be an employee; we support the person who holds it, or fill it where that is agreed in scope
- Identity & Microsoft 365Multi-factor authentication on every account that touches client data, sign-in policies and administrator separation
- Client dataEncryption at rest and in transit, access by role, and secure portals instead of email attachments
- Email & paymentsEmail security and a verification process for payment and wire instructions
- Backup & recoveryBackups of tax, accounting and document systems that survive ransomware, with restores tested before the busy season
- Incident responseA written plan, rehearsed, with the notification steps your rules require
How it is delivered
The same three areas of work every client receives, applied to a firm with a regulator watching:
- Managed IT & Infrastructure — workstations, network, Microsoft 365 and line-of-business systems under management
- Cybersecurity & Recovery — risk assessment, monitoring, incident response planning and tested restores
- Architecture & Technical Leadership — system selection, migrations and vendor oversight
Financial compliance guides
How an engagement starts
With a conversation about the firm and its systems. If there is a fit, we agree the scope and fee for an assessment before any work begins.
You receive an overview of the environment, a prioritized list of risks and gaps measured against the rules that apply to you, and a practical remediation roadmap. Remote support is standard; on-site work is available across Miami-Dade, Broward and Palm Beach counties.
Know where the firm stands
Start with a conversation about your environment. Assessment scope and fee are agreed before any work begins.
Discuss your IT