Free compliance checklistFinancial data compliance self-audit
Find the weak points in your GLBA, SOX, BCBS 239, and AI governance controls. Secure every transaction, model, and report from source to cloud.
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What's in the checklist
- 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
What the self-audit covers
The checklist covers six areas of financial data compliance.
GLBA data privacy controls
Do your data pipelines and AI systems protect customer financial data? Check them against the Gramm-Leach-Bliley Act.
SOX financial data integrity
Check the audit trails, access controls, and data integrity measures in your ML and reporting systems against Sarbanes-Oxley.
BCBS 239 aggregation quality
Check how you aggregate data, how accurate it is, and how complete your reports are. The benchmark is the Basel Committee on Banking Supervision.
AI model governance
Review how you govern AI/ML models: training data controls, validation, change management, and ongoing monitoring.
Transaction security controls
Check the security around your transaction data flows: encryption, access logs, anomaly detection, and breach response.
Data lineage & provenance
Can you show complete, accurate data lineage? Regulatory exams, internal audits, and legal discovery will ask for it.
Regulators are increasing scrutiny now
Gaps in your GLBA, SOX, and BCBS 239 compliance create more than risk. They create liability. Organizations that audit themselves early pass regulatory exams without surprises.
$4.88M
Average cost of a financial data breach (IBM 2024)
90 days
Average time to identify a data breach in financial services
Zero
Compliance violations when governance is built at the source
Know your compliance gaps before regulators do
Download the free checklist. Find the weak points in your financial data compliance.
