IT Audit and Compliance Services for Financial Institutions

A New Regulatory Era in the Financial Sector

To better service the compliance and audit needs of our customers, Lighthouse Computer Services has established a strategic partnership with Compass IT Compliance, LLC. The members of Compass IT Compliance, LLC are highly experienced and certified, and the company’s managing partners were formerly senior consultants within the Lighthouse IT Compliance Group.

Ensure that your financial institution is in complete compliance with government regulations and industry requirements.

Financial institutions find themselves today burdened by the growing list of regulations that require them to take measures to protect data from loss, alteration, unauthorized access or other misuse: PCI DSS (Payment Card Industry Data Security Standard), FFIEC, Sarbanes-Oxley, HIPAA, Basel II, Gramm-Leach-Bliley Act, Patriot Act, Identity Theft Red Flags, SEC requirements and state privacy laws. Government regulations also demand that financial institutions have processes in place to facilitate rapid recovery from a disaster or business interruption.

Information security and compliance have become top priorities in the financial sector. In today’s regulatory climate, banks, credit unions and other financial firms must have systems and processes in place to protect sensitive data,control access to information, monitor activity and produce reports upon demand.

To meet these requirements, government agencies mandate that financial institutions need to use independent third-parties to conduct annual security and IT audits.

To be effective, IT Auditing and Compliance must be essential components of a financial institution’s strategic objectives, core processes, and budget cycles. To meet strict IT and security guidelines, financial organizations require independent assistance with:

• IT Risk Assessment

• Outsourced IT Auditing

• Business Continuity Planning

• Disaster Recovery Testing

• Network Vulnerability Assessment

• Network Penetration Testing

Experienced. Certified. Dedicated.

A complete solution to the IT regulatory challenges that financial institutions face.

Compass IT Compliance, LLC has a proven track record of success in the financial sector. They are an experienced and certified team of IT Auditors that offers a cost-effective approach to meeting the growing number of regulations in the banking and financial services industry.

With Compass, you are assured of receiving senior-level, highly experienced partners who are intimately familiar with the financial sector’s unique IT infrastructure to conduct your IT Audit. They can also help you avoid the risk of costly damage to key business processes with an IT Compliance and Security solution specifically designed for financial organizations.

As your trusted IT compliance partner, Compass' certified IT Auditors can:

• Conduct a complete analysis of financial
information systems, including a review of
policies and procedures to assess the risk to
your enterprise

• Offer a cost-effective, highly experienced
outsourced resource for your internal IT Audit
function

• Help you meet the requirements for
Vulnerability Assessment and Penetration
Testing

• Develop, update or revise your Business
Continuity Plan and conduct Disaster Recovery
Testing

They will also deliver detailed recommendations on how to eliminate vulnerabilities and mitigate risk. With Compass IT Compliance, you will have complete confidence that your systems are in compliance with government regulations and safe from outside threats.

Specializing in IT Audit and
Compliance Services for the Financial Sector

• IT Compliance projects performed for 50+
financial institutions

• Experienced team of IT Auditors

• Each IT Auditor possesses more than ten
years experience within the industry

• All IT Auditors are from the financial industry

• All IT Auditors are Certified Information
Systems Auditors (CISA) and well versed in
FFIEC IT handbooks

• Other industry leading certifications,
including Certified Information Systems
Security Professional (CISSP) and Certified
in the Governance of Enterprise IT (CGEIT)

• All IT Auditors are Qualified Security
Assessors

• Compass IT Compliance is an Approved
Scanning Vendor

• Well versed in PCI DSS/ ISO 27001/27002 and
CoBiT®

• All of Compass IT Compliance, LLC's projects
follow the strict CoBiT® Framework, adhering
to specific industry and governmental
standards

• All Compass' work in the banking industry
closely follows the latest FFIEC Guidance

Deep Banking and PCI Knowledge

Compass IT Compliance, LLC has worked extensively with the region’s leading regional banks and credit unions to bring their IT systems up-to-date, help them ensure IT compliance, and deliver timely advice in a world with increasing reliance on speed, accuracy, and accountability.

In addition, Compass is one of the few Payment Card Industry (PCI)-Approved Scanning Vendors (ASV) and Qualified Security Assessors (QSA). Compass' expert IT Auditors – all CISA-certified auditors, network engineers and project managers – stand ready to assist you with your PCI-related compliance needs.

Compass IT Auditors possess comprehensive
knowledge of industry regulations. We can help
you become compliant with internal, industry and government regulations, such as PCI DSS, FFIEC, Sarbanes-Oxley, HIPAA, Basel II, Gramm-Leach-Bliley Act, Patriot Act, Identity Theft Red Flags, SEC requirements and state privacy laws.

A Team of Experts

Compass IT Compliance's Auditors – all of whom are either Certified Information Systems Auditors (CISA), Certified Network Engineers, Certified Project Managers or Certified in the Governance of Enterprise IT – have performed dozens of IT Audit and Compliance projects across all industries, including the highly regulated banking and financial sectors. Compass is also an Approved Scanning Vendor (ASV) in the Payment Card Industry (PCI), and each of their IT Auditors is a PCI-certified Qualified Security Assessor (QSA). Compass' IT Auditors are the best in the business, and have multiple certifications in industry practices and testing methodologies.

For more information, or to schedule a consultation, please visit Compass IT Compliance, LLC, or call Compass at 888-246-7594.