NYDFS Compliance

A customized solution aimed to evaluate and enhance your organization’s alignment with NYDFS cybersecurity regulations.  

We help state-chartered banks, licensed lenders, private bankers, mortgage providers, and insurance companies comply with requirements set forth by the NY Department of Financial Services. 

We offer a flexible solution to help organizations ensure compliance obligations are defined, understood, and achieved. Keystones of our NYDFS services include comprehensive risk assessments, preparedness for incident response and breach notification activities, third-party risk management, and analysis of corporate training relevant to cyber risks. Our subject matter experts have extensive financial industry compliance and audit expertise, which includes benchmarking operational and technical safeguards, assisting remediate compliance gaps, and enhancing program efficiencies.

Through our NYDFS Solution, we will:  

  • Conduct scoping and discovery activities to assess the threat landscape of the IT infrastructure and nonpublic information within the organization, identifying vulnerabilities.

  • Design and implement a program to align organizational assessments, policies, and training practices with NYDFS requirements.

  • Attain and maintain an annual certification that the organization complies with the NYDFS Cybersecurity Regulation.

A LevelUP solution may include all or some of the following procedures:

Risk Assessment

Conduct a risk assessment to assess the confidentiality, integrity, security, and availability of the IT infrastructure and nonpublic information within the organization. Present key findings, expose data vulnerabilities, and prioritize remediation recommendations.

Policy & Procedure EnhancemenT

Establish or enhance a complete suite of organizational requirements for audit logging, data retention, access privileges, corporate training, data classification, and other NYDFS Cybersecurity Regulatory requirements.

Incident & Breach Preparedness

Develop a written plan to address internal processes for detecting and responding to cybersecurity events, including communication plans and responsibilities to enable timely response and notification to the appropriate authorities.

Third-Party Security 

Identify, analyze, and develop controls to mitigate risks presented to data and operations by third party service providers that interact with nonpublic information. Enable continued monitoring of third- party service providers’ alignment to NYDFS security requirements.

Annual Certification

Prepare for annual certification to the NYDFS that the organization is in compliance with the regulation, including providing documentation of remediation efforts that were undertaken to address compliance gaps.


Put the power of LevelUP Consulting to work today.

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