Unified Controls and Audit Program for a Wealth-Tech Platform
612 overlapping requirements folded into 148 owned controls, and one evidence cycle for four audits.
Client name withheld by agreement- Client
- Digital brokerage and advisory platform
- Region
- Charlotte, North Carolina
- Year
- 2026 · Ongoing
- Duration
- 26 weeks
- Scope
- SOC 1, SOC 2, NYDFS Part 500 and ISO/IEC 27001
- Practice
- Offensive Security & Resilience
The challenge
What was at stake.
A digital brokerage and advisory platform reports to SOC 1 auditors for its custody reconciliation, SOC 2 auditors for its client portal, the New York Department of Financial Services under Part 500, and an ISO/IEC 27001 certification body for its European partners.
Each regime arrived with its own spreadsheet, owner and evidence calendar. Engineers were spending close to a month a year answering audit requests, and the 2025 Part 500 amendments added more.
What we did
The approach, step by step.
- 01
Requirements reduced to controls
We mapped 612 requirements across the four regimes into 148 controls, each with one owner and a written test procedure.
- 02
Evidence pulled, not requested
Connectors to the cloud provider, identity platform, ticketing and HR systems now collect evidence automatically and tag it to every framework it serves.
- 03
Part 500 amendments built in
Annual CISO reporting to the board, privileged access controls, asset inventory and incident notification timelines were added to the shared control set.
- 04
Audits run on one calendar
Observation periods were aligned and auditors agreed to rely on the shared evidence library where their standards permit.
Outcomes
What changed, in numbers.
- 612
- requirements consolidated
- 148
- controls with named owners
- 4
- audit regimes on one evidence cycle
- 70%
- fewer evidence requests to engineering
Our engineers used to dread audit season. Most of them did not notice the last one.
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