SEC, NFA & FINRA Audits; we are ready when you are!

The professionals at Lazarus Alliance are completely committed to you and your business’ SEC, NFA & FINRA audit success. Regardless of whether you represent the private sector or the public sector, we stand ready to partner with your organizations.

Our competition may want to keep you and your employees in the dark where security, risk, privacy and governance are concerned hoping to conceal their methodology and expertise. We don’t prescribe to that philosophy. We believe the best approach is transparent and built on a partnership developed on trust and credibility.

Lazarus Alliance Compliance’s primary purpose is to help organizations attain, maintain, and demonstrate compliance and information security excellence – in any jurisdiction. Lazarus Alliance Compliance specializes in IT security, risk, privacy, governance, cyberspace law and SEC, NFA & FINRA audit compliance leadership solutions and is fully dedicated to global success in these disciplines. We can help your organization too! Our client’s come from all business sectors across the world.

Your Lazarus Alliance Assessment team will:

Lazarus Alliance Compliance SEC, NFA & FINRA audit process initially takes just a few weeks from start to completion to baseline your organization depending on your team’s availability. We are cognizant that our clients have full time, everyday obligations in addition to dealing with auditors so we are flexible to your needs and work around your schedule to provide a quality audit and report in the time frame you desire.

  • Introduced you to Lazarus Alliance’s Proactive Cyber Security™ methodology and operating procedures.
  • Set expectations for the future audit, including time commitments that may be necessary from key client personnel.
  • Provide you with sufficient time to remediate any gaps in the control structure.
  • Provide you with direct access to obtain immediate responses from Lazarus Alliance professionals regarding the impact potential changes to services or controls may have on the upcoming audit.

  • Ensure that you will have sufficient time to remediate any gaps in the control structure.
  • Ensure that you will have access to obtain immediate responses from Lazarus Alliance Compliance professionals regarding the impact potential changes to services or controls may have on the upcoming audit.
  • The scope of the subsequent audit, and specifically the control objectives and related control activities, are refined based upon the Lazarus Alliance Readiness Review

A significant differentiator you will immediately appreciate is our Proactive Cyber Security™ SEC, NFA & FINRA audit methodology which take a continuous audit approach rather than the end of reporting period Audit Anarchy approach by other firms. We will also utilize our proprietary IT Audit Machine technology to set you up for success. The IT Audit Machine is a full-featured and highly collaborative assessment and reporting tool only available from Lazarus Alliance and Continuum GRC.

Lazarus Alliance creates sustainable SEC, NFA & FINRA audit partnerships with our clients. We have a proven methodology and project plan that helps our clients achieve compliance on budget and on schedule. You will come to appreciate our Service, Integrity and Reliability which will be apparent to you from the very first call.

 

Start working smarter not harder today ...

The SEC, NFA and FINRA professionals at Lazarus Alliance are completely committed to you and your business’ compliance success. Regardless of whether you represent the private sector or the public sector, we stand ready to partner with your organizations.

Call us at +1 (888) 896-7580 and speak to an expert today.

Service Engagement Specifics

The Lazarus Alliance SEC, NFA & FINRA audit assessment will be conducted utilizing the current SEC, NFA & FINRA audit standards outlined in the COSO, SEC, NFA and FINRA frameworks so you will be completely current with the industry standard specified by the SEC, FINRA and the PCAOB.

You don’t just get certified, you get Lazarus Alliance certified!

Through the successful completion of hundreds of audits around the world for organizations of all sizes, Lazarus Alliance has developed an efficient methodology and proprietary assessment protocols to evaluate the controls in place at your organization.

Leveraging the Continuum GRC IT Audit MachineSecurity Trifecta methodology and the Policy Machine, Lazarus Alliance provides international standards that are recognized as “Best Practices” for developing organizational security standards and controls that support SEC, NFA & FINRA audit certifications.

We want to be your partner and SEC, NFA & FINRA audit assessor of choice! For additional information please contact us using the form to the right or calling 1-888-896-7580.

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