Industries · Financial Services

GRC built for the most-regulated industry.

Banks, fintechs, lenders, and asset managers answer to more regulators than anyone. Compyl maps one control library to every framework that governs financial services, so you collect evidence once, stay continuously exam-ready, and report risk in dollars.

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Regulatory coverageLive

MFA enforced on all users

Source: OktaEvidence Health: 98%Refreshed 4m ago

↓ THIS ONE CONTROL SATISFIES 7 FINANCIAL REGULATIONS

SOX ITGCAccess controls

GLBA Safeguards314.4(c)

PCI DSS 4.08.4 / 8.5

NYDFS 23 NYCRR 500500.12

FFIEC CATD3.PC.Am

SEC Regulation S-PSafeguards

DORAArt. 9

Collect once · satisfy every financial regulator

What does compliance for financial services require?

Financial services carries one of the heaviest regulatory loads of any industry. A single firm often must satisfy SOX ITGC, the GLBA Safeguards Rule, PCI DSS, NYDFS 23 NYCRR 500, FFIEC guidance, SEC Regulation S-P, and DORA, while also pursuing SOC 2 and ISO 27001 for customer assurance. These frameworks overlap heavily, yet most teams still manage them in separate tools. Compyl replaces that duplication with one control library, cross-mapped to every framework and fed by continuous evidence from your stack.

The challenge

Why GRC is harder in financial services

Overlapping regulators

Federal, state, card networks, and (for EU operations) the EU all impose requirements that overlap but never line up, multiplying documentation work.

Constant exam pressure

Regulatory exams and annual attestations (like the NYDFS CISO certification) turn evidence-gathering into a recurring fire drill.

Fintech & vendor risk

Bank-fintech partnerships and a long vendor tail expand the attack surface, and regulators expect you to monitor every third party.

How Compyl helps

One platform for every financial regulator

Map one control library to every framework

Define your controls once and cross-map them to SOX, GLBA, PCI DSS, NYDFS, FFIEC, SEC, and DORA. Evidence collected for one regulator automatically counts for the rest.

No duplicate work across regulators or exams.
Each new framework reuses controls you already have.

Encryption at rest enabled

pulled automatically from AWS / Azure

↳ ONE EVIDENCE ITEM · 5 REQUIREMENTS

SOX ITGC Data GLBA 314.4 PCI DSS 3.5 NYDFS 500.15 SEC S-P Safeguards

Stay continuously exam-ready

Integrations pull evidence from your core banking, cloud, identity, and ticketing systems around the clock. Evidence Health scores every artifact, so gaps surface weeks before an examiner asks.

Produce the NYDFS annual certification with current proof.
Hand auditors organized, live evidence, not a request list.

Exam readiness

continuous control monitoring

Access reviewsCurrent

EncryptionCurrent

Vendor SOC 2 (Acme)Expiring 14d

Report risk in dollars, and watch every vendor

Quantify cyber and vendor risk in financial terms with the FAIR model, so your board, CFO, and regulators get numbers they can act on. Continuously monitor fintech partners and automate security questionnaires.

FAIR-based risk quantification, board-ready.
Continuous third-party monitoring & questionnaire automation.

Third-party risk

fintech partners & vendors

Payments processorCritical

Core banking APIMedium

Analytics SaaSLow

Coverage

Frameworks that govern financial services

All cross-mapped to one control library, explore each, or see the full library of 70+.

SOX ITGC GLBA Safeguards Rule PCI DSS 4.0 NYDFS 23 NYCRR 500 FFIEC SEC Regulation S-P DORA SOC 2 ISO 27001 View all 70+ →

Why Compyl

Built for the way financial GRC actually works

One source of truth

Controls, evidence, risk, and vendors in one connected system, across every regulator you answer to.

Continuous, not point-in-time

Evidence refreshes automatically and is scored for health, so you're exam-ready every day of the year.

Agentic AI, human approved

AI drafts evidence, maps controls, and triages vendor risk; your experts approve every decision.

Financial Services FAQ

Common questions

Financial services firms typically must address SOX ITGC, the GLBA Safeguards Rule, PCI DSS for cardholder data, NYDFS 23 NYCRR 500, FFIEC guidance, SEC Regulation S-P, and DORA for EU operations. Most also pursue SOC 2 and ISO 27001 for customer assurance. Compyl maps one control library to all of them at once.

Compyl maps your controls to each NYDFS 500 requirement, MFA (500.12), access controls, encryption, risk assessment, and the CISO reporting obligation, and continuously collects evidence from your stack, so you can produce the annual certification with current proof instead of a year-end scramble.

Yes. With cross-mapping, evidence that MFA is enforced can satisfy SOX ITGC access controls, GLBA Safeguards, PCI DSS 8.4, NYDFS 500.12, and SOC 2 CC6.1 simultaneously. You collect it once and it counts for every regulator that requires it.

Compyl monitors controls continuously and scores every evidence artifact on relevance, freshness, and completeness, so control gaps and drift surface weeks before an exam or audit. Auditors and examiners get live, organized proof instead of a request-list fire drill.

Yes. Compyl assesses and continuously monitors vendor and fintech-partner risk, automates security questionnaires, and quantifies exposure in dollars using the FAIR model, so risk reporting speaks the language your board, CFO, and regulators expect.

GRC Your Way

See Compyl mapped to your financial stack

One control library, every regulator, continuous evidence, and agentic AI that removes the busywork, with your experts in control.

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