/ Free compliance checklist
Financial data compliance self-audit
Uncover weaknesses in your GLBA, SOX, BCBS 239, and AI governance controls - and secure every transaction, model, and report from source to cloud.
- GLBA compliance gap analysis with remediation priorities
- SOX data integrity assessment with control ratings
- BCBS 239 readiness scorecard across all 11 principles
- AI governance maturity assessment
- Prioritized remediation roadmap with cost estimates
- 90-day quick-win action plan
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/ Coverage
What the self-audit covers
A review of your financial data compliance posture across six critical areas.
GLBA data privacy controls
Assess whether your data pipelines and AI systems meet Gramm-Leach-Bliley Act requirements for customer financial data protection.
SOX financial data integrity
Evaluate your audit trails, access controls, and data integrity measures for Sarbanes-Oxley compliance across ML and reporting systems.
BCBS 239 aggregation quality
Check your data aggregation capabilities, accuracy standards, and reporting completeness against Basel Committee on Banking Supervision requirements.
AI model governance
Review your AI/ML model governance framework - training data controls, validation processes, change management, and ongoing monitoring.
Transaction security controls
Audit security controls around transaction data flows - encryption, access logging, anomaly detection, and breach response procedures.
Data lineage & provenance
Assess whether you can produce complete, accurate data lineage for regulatory examinations, internal audits, and legal discovery.
/ Why this matters
Regulators are increasing scrutiny now
Gaps in your GLBA, SOX, and BCBS 239 compliance don't just create risk - they create liability. The organizations that conduct proactive self-audits are the ones that pass regulatory examinations without surprises.
Average cost of a financial data breach (IBM 2024)
Average time to identify a data breach in financial services
Compliance violations when governance is built at the source
/ Get the checklist
Know your compliance gaps before regulators do
Download the free self-audit checklist and identify vulnerabilities in your financial data compliance posture.
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