Financial Services IT Solutions
Your financial institution deserves technology that drives competitive advantage, not constant compliance headaches
While competitors pour 75% of their IT budgets into maintaining legacy systems, forward-thinking financial institutions partner with The Nu-Age Group to modernize strategically. Our SOC 2 Type 2 certified solutions transform regulatory compliance from a burden into a competitive advantageāhelping banks, investment firms, and insurance companies innovate faster while staying ahead of evolving threats.
IT Challenges Facing Financial Services
By 2028, financial institutions that fail to modernize their legacy systems will lose over $57 billion. Not from cyber attacks or regulatory finesāfrom missed opportunities and operational inefficiencies that pile up every single day. While executives debate digital transformation strategies, their decades-old COBOL systems quietly drain 75% of IT budgets just to keep the lights on.
Legacy Systems Bleeding Your Budget
Your decades-old core banking systems consume up to 75% of your IT budget just to keep running. COBOL programmers now command 2-3x premium salaries as expertise disappears. By 2028, institutions that fail to modernize risk losing over $57 billion in missed opportunities and operational inefficiencies.
Regulatory Compliance Complexity
SOX compliance alone costs most financial institutions over $1 million annually. New cybersecurity incident reporting requirements demand disclosure within 4 days of material impact. FINRA oversight extends across governance, risk management, technical controls, and incident responseācreating constant audit pressure.
Sophisticated Cyber Threats
Financial data breaches now cost an average of $4.45 million per incident. Cybercriminals increasingly target third-party providers, knowing that one compromise can impact dozens of member firms. Your current security wasn’t designed for nation-state actors and organized crime syndicates.
Fintech Competition
Companies like Apple, Google, and Amazon leverage modern technology stacks to launch financial services in months, not years. While traditional banks face 18+ month development cycles, fintech competitors deliver the instant account opening that 43% of customers now expectābut only 37% of traditional banks can provide.
Third-Party Risk Explosion
FINRA observed a dramatic increase in cyberattacks targeting third-party providers in 2024. Your institution’s security is only as strong as your weakest vendor. Legacy procurement processes can’t keep pace with the due diligence modern risk management requires.
Talent Shortage Crisis
Finding professionals who understand both legacy financial systems and modern cybersecurity creates an impossible staffing equation. Your internal teams can’t become compliance experts, cybersecurity specialists, and modernization architects simultaneously.
Why Financial Services Trust Nu-Age
We’ve served financial institutions since 1997, giving us deep understanding of the regulatory evolution from Sarbanes-Oxley through modern cybersecurity requirements. We know how technology decisions impact compliance outcomes.
SOC 2 Type 2 Certified Operations
Our security operations center meets the rigorous operational standards that financial services regulators expect. This certification demonstrates our commitment to the controls that support your compliance efforts.
Regulatory Compliance Focus
Unlike generic IT providers, we understand how SOX, FINRA, SEC, and federal banking regulations impact technology architecture. We design solutions that enhance compliance rather than complicate it.
Financial Services Track Record
Our client base includes banks, credit unions, investment firms, and insurance companies. We understand the specific operational and regulatory challenges each segment faces.
U.S.-Based Security Operations
When regulatory incidents occur, you speak directly with U.S.-based security professionals who understand the urgency of FINRA reporting deadlines and can provide immediate documentation for examiner requests. No offshore handoffs during critical compliance situations.

The Nu-Age Group specializes in the unique intersection of financial services technology and regulatory compliance. Our solutions address the specific challenges facing banks, investment firms, insurance companies, and fintech organizations while building the foundation for competitive growth.
Enterprise-level technology management designed for financial services regulatory requirements
Your financial operations demand more than basic IT support—you need strategic technology management that understands regulatory implications. Our managed services provide 24/7 monitoring, proactive maintenance, and compliance-aware support that keeps your systems audit-ready.
Strategic advantages:
SOX-compliant infrastructure management maintains audit trails and controls required for financial reporting
Legacy system integration and modernization connects decades-old platforms with modern security without operational disruption
FINRA-compliant system monitoring provides the oversight and documentation that regulatory exams require
24/7 financial markets support ensures trading floors and critical operations never face extended downtime

Perfect for: Banks, credit unions, and investment firms that need Wall Street reliability with comprehensive regulatory compliance.
Enterprise security specifically designed for financial services regulatory requirements
Financial institutions face the most sophisticated cyber threats and strictest regulatory oversight. Our security operations center provides multi-layered protection designed specifically for the regulatory environment that governs banks, investment firms, and insurance companies.
Strategic advantages:
SOC 2 Type 2 certified operations exceed banking industry security standards and regulatory expectations
Financial services threat intelligence targets attacks specific to banking, payments, and investment operations
Regulatory-compliant incident response satisfies FINRA, SEC, and federal banking regulator reporting requirements
Third-party vendor security monitoring addresses the supply chain risks highlighted by recent FINRA advisories

Perfect for: Any financial institution handling customer data, processing payments, or managing investment portfolios.
Artificial intelligence implementation designed for financial services compliance and competitive advantage
Financial services lead AI adoption, but regulatory complexity demands careful implementation. We help financial institutions deploy artificial intelligence strategically while maintaining compliance with existing regulations and emerging AI governance requirements.
Strategic advantages:
Regulatory-compliant AI deployment meets existing financial services regulations and emerging AI guidance
Risk-managed implementation strategy starts with low-risk applications like fraud detection and scales systematically
Audit-ready AI governance provides the documentation and explainability that regulators increasingly expect
Financial services AI expertise understands industry-specific use cases, limitations, and regulatory considerations

Perfect for: Forward-thinking financial institutions ready to gain competitive advantages through responsible AI implementation.
Secure, compliant cloud infrastructure designed specifically for financial services regulatory requirements
Unlike public cloud providers, our private cloud infrastructure gives financial institutions dedicated resources, complete audit visibility, and the control necessary for SOX compliance, FINRA oversight, and federal banking regulations.
Strategic advantages:
SOX-compliant cloud infrastructure maintains the controls and audit trails required for financial reporting
Financial services data residency controls ensure sensitive data meets regulatory location and access requirements
Dedicated compliance resources eliminate multi-tenant risks that concern bank examiners and auditors
Regulatory reporting integration connects cloud infrastructure directly to compliance monitoring and reporting systems

Perfect for: Banks, investment firms, and insurance companies with strict regulatory requirements and audit obligations.

Our Financial Services Implementation Process
Phase 1: Regulatory-Aware Technology Assessment
We evaluate your current infrastructure with specific focus on regulatory compliance, audit trail capabilities, and the controls that financial services examiners expect to see during reviews.
Phase 2: Compliance-First Solution Architecture
Our solutions are designed with regulatory requirements built in from day one. Every technology recommendation considers SOX, FINRA, SEC, and applicable federal banking regulations.
Phase 3: Risk-Managed Implementation
We implement changes using change management controls that maintain audit trails, preserve regulatory compliance, and minimize operational risk throughout the modernization process.
Phase 4: Continuous Regulatory Monitoring
Our SOC 2 certified operations center provides the continuous monitoring and documentation that support ongoing compliance efforts and regulatory examination readiness.
Phase 5: Strategic Partnership Evolution
We regularly assess changing regulatory requirements and emerging compliance expectations to ensure your technology infrastructure supports long-term audit readiness and competitive positioning.
Regional Bank Achieves 99.9% UptimeĀ
A community bank needed to modernize their aging infrastructure while preparing for an upcoming Federal Reserve examination that would scrutinize their IT controls and operational risk management.
Challenge: Outdated systems creating compliance gaps and operational instability ahead of critical regulatory review.
Solution: Comprehensive managed IT services with SOX-compliant monitoring and documentation to satisfy regulatory requirements.
Results delivered:
- 25% reduction in total IT operational costs
- 99.9% uptime maintained across all critical banking systems
- Zero regulatory findings related to IT controls during federal examination
- Complete SOX compliance maintained throughout the engagement
Investment Firm Modernizes Legacy Trading Infrastructure
A mid-market investment firm needed to modernize their 1990s-era trading systems while maintaining regulatory compliance and zero-downtime requirements during market hours.
Challenge: Legacy COBOL-based order management system creating operational risk and limiting new product launches.
Solution: Phased modernization approach connecting legacy systems to modern APIs while maintaining full audit trails.
Results delivered:
- 50% faster new product deployment capabilities
- Complete regulatory compliance maintained throughout modernization
- Zero trading floor downtime during the entire 18-month modernization process
- Reduced operational risk through modern backup and recovery capabilities
Financial Services Technology FAQs
How do you help with SOX compliance requirements?
Our SOC 2 Type 2 certification demonstrates we meet the operational control standards that support SOX compliance. We provide audit trails, change management documentation, and access controls that satisfy external auditors and regulatory examiners.
Do you understand FINRA and SEC regulatory requirements?
Yes. Our team has extensive experience with financial services regulations, including FINRA member firm obligations, SEC reporting requirements, and federal banking oversight. We design technology solutions that enhance rather than complicate regulatory compliance.
Can you modernize legacy systems without regulatory disruption?
Absolutely. We specialize in phased modernization approaches that maintain regulatory compliance throughout the process. Our methodology preserves audit trails, maintains control documentation, and ensures continuous compliance during system transitions.
How do you address third-party vendor risk management?
Our SOC 2 Type 2 certification provides the vendor risk documentation that financial institutions need. We understand FINRA’s third-party risk guidance and provide the oversight and documentation that satisfy regulatory expectations.
What experience do you have with financial services AI implementation?
We help financial institutions implement AI strategically while maintaining regulatory compliance. Our approach includes risk assessment, governance documentation, and the audit trails that regulators increasingly expect for AI systems.
How do you ensure data stays compliant during cloud migration?
Our private cloud infrastructure provides the data residency controls and audit visibility that financial institutions need. We maintain complete documentation of data location, access controls, and security measures throughout migration processes.
Do you work with institutions during regulatory examinations?
Yes. We provide examination support including documentation gathering, control demonstrations, and technical explanations that help institutions satisfy examiner requests efficiently and completely.
How do you stay current with changing financial regulations?
Our team actively monitors regulatory developments from FINRA, SEC, federal banking agencies, and other relevant authorities. We proactively adapt our solutions and processes to meet evolving compliance requirements.

Let's Connect
Ready to Transform Your Financial Services Technology?
Headquarters
11954 Narcoossee Road, Suite 182
Orlando, FL 32832
Call Us
sales@thenuagegroup.us
Support Hours
24/7 Emergency Support
Business Hours: Mon-Fri 8AM-6PM
Get Your Financial Services Technology Assessment
Regulatory expertise. Enterprise capabilities. Financial services results.