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Continuous Controls and Audit Readiness
A growing cloud-native investment firm engaged us to conduct a comprehensive security audit and implement automated controls to streamline compliance.
Client
Investment Management Firm
Objective
Automating access audits and compliance processes on AWS to strengthen security for a growing investment firm.
Tech Stack
AWS integration
Intro
A growing investment management firm wanted to tighten cloud security and simplify compliance. We conducted a full security audit and then automated their user access reviews and compliance checks on AWS. The firm now has continuous oversight of its cloud environment: unauthorized access is swiftly removed, and audit evidence is available on demand. This strengthened security posture not only keeps data safe but also makes SOC 2 and SEC compliance much easier and error-free, boosting confidence for auditors and investors alike.
Challenge
As the firm expanded, trying to manage security and compliance by hand became overwhelming. IT staff had to regularly comb through dozens of AWS accounts and applications to see who had access to what, and make sure that former employees or other unauthorized users weren’t lingering in the system. These user access reviews were taking weeks each quarter and were prone to human oversight – meaning there was a risk someone might still have access they shouldn’t. Preparing for audits (like SOC 2 or meeting SEC regulations) was another headache: it meant chasing down managers for approvals and compiling endless spreadsheets of permissions as proof. The whole process was time-consuming, error-prone, and stressful, raising concerns that something important might be missed.
How It Works Now
We implemented an automated identity governance and monitoring system using AWS cloud tools. First, we mapped out every user, role, and permission across the firm’s cloud landscape to establish a clear baseline. Then we deployed an identity management solution that automatically runs periodic access reviews across all those AWS accounts and connected applications. The system enforces a strict “least privilege” policy — in plain terms, nobody keeps access they don’t need. If an employee’s permissions exceed what’s necessary for their job, the system flags it and triggers an automated workflow to remove or adjust that access. We also set up continuous security monitoring: AWS services now constantly audit changes in the environment and will send an immediate alert to the security team if something unusual happens. For example, if an account suddenly gains admin rights or a critical security setting is changed, everyone who needs to know is notified right away so they can investigate. All of these controls feed into a central dashboard that management (and auditors, when needed) can view at any time to see the firm’s real-time compliance status. Essentially, the firm gained an always-on, automated security watchdog that not only cleans up access rights but also provides instant visibility into any potential security issues.
Results
Reviews of user access that used to drag on for weeks are now completed in just a few hours, and the once grueling quarterly certification process wraps up within a day or two. The firm now has a live dashboard of every user and their permissions, which means nothing falls through the cracks – any excess or dormant access gets flagged and removed almost immediately. Continuous monitoring has drastically cut down the time to spot and respond to security anomalies: what might have taken days to notice and sort out now takes minutes. Importantly, when it’s time for an audit, all the evidence of compliance (like who has access to what, approval logs, security configurations) can be generated in minutes. This has made formal audits and due diligence processes much smoother, with far fewer findings or follow-up questions. Overall, security is tighter and always up-to-date, and the leadership team has peace of mind (backed up by real-time data) that they’re meeting strict compliance standards at all times.
Business impact
Automated access control: Regular access reviews are hands-free and continuous, with any unnecessary or risky privileges promptly removed.
Audit-ready anytime: Evidence for compliance audits (SOC 2, SEC, etc.) can be compiled in minutes, making audit cycles faster and hassle-free.
Stronger security confidence: A fortified security posture and continuous compliance monitoring have increased both auditor and investor confidence in the firm’s operations.
