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Financial services organizations operate under intense regulatory scrutiny, with mandates to maintain detailed records, ensure transparency, and properly govern the use and distribution of material nonpublic personal information (NPI). Regulations such as Gramm-Leach-Bliley (GLBA) and Sarbanes-Oxley (SOX) require strict governance over NPI and personally identifiable information (PII). Auditors must assess internal controls to validate entitlement governance and verify that sensitive information is being accessed, used, and distributed appropriately.
Yet, the reality is often far more complex. Vast volumes of unstructured data spanning emails, spreadsheets, documents and shared repositories make compliance auditing costly, time-consuming, and difficult to scale. Traditional compliance efforts often rely on fragmented systems, manual evidence collection and labor-intensive reviews of audit data, making it difficult to identify inappropriate access, investigate incidents, and demonstrate effective controls.
To meet these challenges, organizations must streamline reporting and audit processes while gaining continuous visibility into data activity without driving up operational costs. An intelligent, automated approach to monitoring, analyzing, and governing unstructured data is essential to strengthen compliance, accelerate investigations, and reduce risk across the enterprise. Organizations need a continuous, evidence-based approach that combines data discovery, entitlement analysis, activity monitoring, and compliance reporting within a unified framework.
Effective compliance requires more than knowing where sensitive information resides or who is authorized to access it. Organizations must also understand how information is actually being used across the enterprise, including who accessed it, what actions were performed, and whether it was distributed appropriately. By correlating entitlement data with real-world information activity, compliance teams gain the evidence needed to validate controls, investigate anomalies, uncover inappropriate access, accelerate audits, and confidently demonstrate regulatory compliance.
The Solution
The Audit and Compliance Solution provides end-to-end visibility, governance, and audit assurance for material information across the enterprise. By combining information, entitlement analysis, activity monitoring, and compliance reporting, it enables organizations to continuously monitor sensitive information, validate access controls, identify inappropriate activity, and demonstrate regulatory compliance with confidence. The solution’s three integrated components are:
Inventory
Identifies the “what, where, and who” of material information, revealing what sensitive information exists, where it resides, and who is authorized to access it. This foundational visibility supports downstream audit, compliance, and governance processes. This forms the foundation for further data collection and can generate reports for audit and compliance.
Entitlements Audit
Aggregates and analyzes entitlement data for material information, integrating it with business practices to assess appropriate and inappropriate access rights grants. Helps organizations identify excessive privileges, outlier grants, rogue accounts, and generate entitlement attestation reports to support audit and regulatory compliance.
Activity Audit and Compliance Monitoring
Provides continuous monitoring and visibility into the lifecycle of material information, tracking all use and distribution activities. Enables proactive detection and remediation of improperaccess, usage, and distribution activities, reducing compliance risk and helping organizations maintain continuous audit readiness.
Together, these components deliver a comprehensive approach to securing unstructured material information, supporting efficient audits and regulatory compliance.
Conclusion
By combining information inventory, entitlement analysis, activity monitoring, and compliance reporting, organizations gain continuous visibility into sensitive information throughout its lifecycle. This enables compliance teams to validate controls, demonstrate accountability, establish verifiable audit evidence, accelerate audit readiness, and reduce regulatory risk with confidence. The result is stronger governance, improved operational efficiency, and a more proactive approach to meeting evolving compliance requirements.
To learn how organizations can inventory sensitive information, verify entitlements, monitor data activity, and generate audit-ready evidence for regulatory compliance, read the full solution paper.
