Cybersecurity & Data Privacy for Financial Professionals

Essential cybersecurity training as state mandates expand. Covers NY DFS 23 NYCRR 500, SEC Reg S-P amendments, threat vectors targeting financial services, incident response planning, and building a culture of security.

10 Units

Early Units (Foundation)

Building Skills

Advanced Concepts

Capstone/Synthesis

The Threat Landscape: Financial Services as a Target

An overview of the current cyber threat environment facing financial services professionals, including attack trends, breach statistics, and the unique vulnerabilities of advisory and insurance practices.

20 minutes

Regulatory Framework: SEC, State Insurance, and Federal Requirements

A detailed examination of the regulatory framework governing cybersecurity in financial services, including SEC rules, state insurance requirements, federal banking regulations, and the NAIC Model Law.

20 minutes

Data Classification and Client Information Protection

A practical guide to identifying, classifying, and protecting the sensitive client information that financial services professionals handle daily, with specific encryption and access control requirements.

20 minutes

Common Attack Vectors: Phishing, Social Engineering, and Ransomware

A detailed examination of the attack methods most commonly used against financial services professionals, with practical recognition techniques and real-world examples from advisory and insurance practices.

20 minutes

Incident Response Planning and Breach Notification

A practical guide to building and maintaining an incident response plan for financial services firms, including regulatory notification timelines, communication protocols, and post-incident remediation.

20 minutes

Third-Party Vendor Risk Management

A practical framework for evaluating, contracting with, and monitoring third-party vendors who have access to client information, including due diligence procedures and contractual requirements.

20 minutes

Remote Work Security and Mobile Device Management

Practical security controls for remote work, home offices, mobile devices, and BYOD environments, addressing the expanded attack surface facing financial professionals who work outside traditional office settings.

20 minutes

Building a Culture of Security: Training, Testing, and Compliance

Strategies for building a sustainable cybersecurity culture within financial services firms through effective training programs, regular testing, compliance documentation, and continuous improvement.

20 minutes

Advanced Data Classification Frameworks for Financial Services

Builds on foundational data classification concepts to explore formal sensitivity frameworks, PII taxonomy construction, and client data tiering strategies that satisfy regulatory requirements while providing meaningful operational guidance.

20 minutes

Applied Data Protection: Encryption, Access Controls, and Cross-Border Transfer

Translates data classification tiers into concrete technical and procedural controls, covering modern encryption standards, key management, role-based access control implementation, and the increasingly important challenge of cross-border client data transfer.

20 minutes

Learning Progression

This course is designed to be taken sequentially. Earlier units establish foundational concepts that later units build upon. While you can explore units in any order, following the numbered sequence provides the most coherent learning experience.