Financial Services Compliance

Concord Compliance has the experience and expertise to help organizations in the Financial Services industry.

Compliance management for the Financial Services industry

The financial services industry is one of the most heavily regulated industries in the world. From financial data and credit card protection, to employee training and certification, the financial services industry is safeguarded by a multitude of different requirements and standards designed to maintain a sense of confidentiality, integrity, and availability (CIA) for both the consumer as well as the organization.

Financial Services industry standards


The set of financial and information technology standards that protects credit cardholder’s data, known as the Payment Card Industry Data Security Standard (PCI DSS), serves as one of the primary regulatory entities within the financial services industry. These standards apply to all merchants, financial services, and organizations that collect, process, store, and/or transmit credit card information. Failure to comply with PCI DSS standards typically results in huge financial penalties, a damaged reputation, and a loss of consumer and business partner trust.


Although it is a non-governmental agency authorized by Congress, the Financial Industry Regulatory Authority (FINRA) still serves as one of the primary entities that oversees the regulation and protection of the financial services industry. To maintain this regulation and protection, FINRA compels its member firms to act with honesty and transparency toward their consumers and business partners in order to demonstrate the security of their financial data.


Focusing on standardization in the field of banking, securities, and other financial services is the technical committee within the International Standards Organization (ISO) known as TC68. In other words, Technical Committee 68 (ISO/TC 68) is one of the primary entities responsible for creating global standards for the financial services industry.

How Concord Compliance helps you maintain compliance

Here at Concord Compliance, we understand that compliance within the financial services industry is no joke. That’s exactly why we utilize industry-leading expertise in ISO, FINRA, and PCI compliance to deliver a comprehensive compliance management solution that ensures your business remains in good standing with industry standards.

In addition, we know that your financial services organization has a unique technology and business footprint, so we consistently develop customized compliance programs to ensure that your organization meets the specific requirements of ISO, FINRA, and PCI DSS standards.

Staff Training

With your tailored Concord Compliance management program, your organization will be supplied with the right amount of practical staff training and assurance activities to meet the financial services industry regulatory requirements without creating undue burdens on your staff.


Due to the vast security requirements within the financial services industry, our compliance programs not only offer the necessary collection of security, governance, and maintenance elements, but they also schedule and track these activities and capture the results for management and auditing purposes.


Lastly, because the financial services industry places an emphasis on honesty and transparency when communicating with consumers and business partners, our compliance management programs maintain all of your compliance materials and tracking, reporting, and supporting documents and attestations in a single, organized place, to ensure that you’re always prepared to relay the facts to your clients.

Is your financial services organization ready to become compliant? Schedule a demo today