Secure, Compliant IT Solutions for Finance & Banking Firms
Secure. Compliant. Scalable. IT Services Built for Financial Institutions.
Finance & Banking IT Services
Secure. Compliant. Scalable. Trusted IT for Financial Institutions.
"At UPTech IT, we deliver purpose-built IT solutions for banks, credit unions, investment firms, and other financial organizations across Central Kentucky. We understand that your industry demands secure, always-on infrastructure built for regulatory compliance and operational trust — and that's exactly what we provide.
Whether you're a local bank or a multi-office wealth firm, our team ensures your systems are secure, compliant, and ready to support your growth.
Financial IT Services We Offer
- PRISM - Proactive Remote Insight & Security – Focused on supporting your ATMs, ITMs, TCRs, DVRs, and self-service technology
- JackBlock – JackBlock triggers an audible/visual blast and cuts power to critical ATM components when tampering is detected.
- Managed IT Services – End-to-end support and system maintenance
- Advanced Cybersecurity
- EDR (Endpoint Detection & Response) – Detects and isolates threats at device level
- MFA (Multi-Factor Authentication) – Adds extra layers of access security
- DNS Filtering (Domain Name System Filtering) – Blocks access to malicious sites
- Threat Detection & Response – Real-time monitoring and remediation
- Encrypted Communications & Email Security – Secures sensitive conversations
- Compliance Assessments & Documentation – Helps meet audit and regulatory requirements
- Infrastructure Support & System Hardening – Builds secure, resilient networks
- Cloud Integration & Secure File Sharing – Facilitates flexible, compliant workflows
- Business Continuity Planning & Offsite Backup – Minimizes downtime during emergencies
- Microsoft 365 Hardening – Strengthens account security and data sharing policies
PRISM — Proactive Security & Endpoint Management
PRISM is UPTech’s all-in-one managed services platform designed to keep your endpoint network secure, compliant, and always running. It combines real-time monitoring, automated patching, advanced security, and remote diagnostics into a single dashboard—helping prevent issues before they impact your operations. With built-in compliance reporting and proactive remediation, PRISM reduces downtime, lowers costs, and gives you complete visibility and control across your entire device network.
Built for Compliance, Backed by Experience
With rising cybersecurity risks and increasing regulatory complexity, your IT systems must meet strict industry standards. UPTech IT helps financial institutions align with these essential compliance frameworks:
- GLBA (Gramm-Leach-Bliley Act)
Requires financial institutions to protect consumer financial data and disclose their information-sharing practices. We support GLBA compliance with strong access controls, encryption, and privacy-focused policies. - PCI-DSS (Payment Card Industry Data Security Standard)
Mandates protection of cardholder data and implementation of anti-fraud security protocols. We deploy secure networks, vulnerability scanning, and incident response measures. - FINRA (Financial Industry Regulatory Authority)
Governs registration, operations, and data integrity for brokerage firms. Our IT environments meet FINRA’s standards for secure communication, data retention, and cyber risk management. - SOC 2 (System and Organization Controls, Type 2)
Outlines trust principles around security, availability, processing integrity, confidentiality, and privacy. We help implement systems with audit trails, access control, and incident response aligned with SOC 2. - FISMA (Federal Information Security Modernization Act)
Requires federal agencies and contractors to secure sensitive data and systems. We provide risk assessments, access logging, and compliance documentation to support FISMA readiness.
These standards ensure that your IT systems protect sensitive data, reduce audit risk, and uphold public trust.
Our Financial Clients Include:
Banks & Credit Unions
Network segmentation, core system uptime, and disaster recovery
Wealth Management Firms
Client asset protection and compliance alignment
CPA & Accounting Offices
Reliable, audit-ready IT support
Financial Startups
Scalable, cloud-first infrastructure that grows with you
Why Financial Teams Choose UPTech IT:
Expertise in financial regulations: GLBA, PCI-DSS, FINRA, SOC 2, and FISMA
Responsive local team based in Lexington, KY
Custom IT plans built around your operations and risk profile
Secure infrastructure from endpoint to cloud
Friendly technicians with enterprise-level experience
Finance & Banking IT & Compliance FAQs
What does GLBA compliance require from our IT systems?
The Gramm-Leach-Bliley Act requires financial institutions to protect the security and confidentiality of customer financial information and to disclose information-sharing practices. This typically involves access controls, encryption, employee training, vendor oversight, and a written information security program. UPTech IT helps design and maintain the technical controls that support GLBA compliance.
Do you help with PCI-DSS compliance for card payment systems?
Yes. The Payment Card Industry Data Security Standard requires organizations that handle cardholder data to maintain secure networks, restrict access, monitor systems, and follow defined security policies. UPTech IT supports PCI-DSS efforts through network segmentation, vulnerability scanning, secure configurations, and incident response planning.
How does UPTech IT support FINRA-regulated firms?
FINRA governs data integrity, recordkeeping, and secure communication for brokerage and investment firms. We help align IT environments with these expectations through secure email and messaging, controlled data retention, access logging, and documented cybersecurity practices that support your firm's regulatory obligations.
Can you help our organization work toward SOC 2 alignment?
SOC 2 outlines trust principles around security, availability, processing integrity, confidentiality, and privacy. UPTech IT helps clients implement the underlying controls — audit trails, access management, monitoring, and incident response — that support SOC 2 alignment. We do not perform SOC 2 audits ourselves, but we help prepare the technical environment for a formal audit conducted by a qualified assessor.
What is PRISM, and how does it protect ATMs and self-service technology?
PRISM is UPTech IT's managed services platform for endpoint security and monitoring, including ATMs, ITMs, TCRs, DVRs, and other self-service technology. It combines real-time monitoring, automated patching, and compliance reporting into a single dashboard, helping identify and address issues before they affect operations.
How does JackBlock protect against ATM tampering?
JackBlock is a security solution that detects tampering at critical ATM components and responds with an audible and visual alert while cutting power to protect the device. It's one layer of a broader physical and network security strategy for financial institutions operating self-service technology.
Do you work with community banks and credit unions, or only larger institutions?
UPTech IT works with financial organizations of varying sizes, including community banks, credit unions, wealth management firms, CPA and accounting offices, and financial startups. IT plans are built around each organization's operations, risk profile, and regulatory requirements rather than a one-size-fits-all approach.
Can you support institutions with multiple branch locations?
Yes. We support network segmentation, core system uptime, and disaster recovery across multi-location banks and credit unions, and can scale support as an organization adds branches or expands its footprint across Central Kentucky.
What happens during a compliance assessment?
A compliance assessment reviews your current IT environment against applicable frameworks such as GLBA, PCI-DSS, FINRA, or FISMA. This typically includes evaluating access controls, encryption, backup and recovery processes, vendor relationships, and documentation. UPTech IT provides a clear summary of findings along with a prioritized remediation plan.
How do you handle disaster recovery and business continuity for financial institutions?
Business continuity planning for financial institutions accounts for core system uptime, encrypted offsite or cloud-based backups, defined recovery time objectives, and routine recovery testing. Plans are built around each institution's operational requirements and regulatory expectations for minimizing downtime.
Can UPTech IT work alongside our existing internal IT or compliance team?
Yes. Co-managed IT support can add capacity, specialized cybersecurity expertise, monitoring, and compliance documentation alongside an existing internal team. Responsibilities are divided based on available internal resources and the institution's specific needs.
How is pricing determined for financial institution IT services?
Pricing depends on factors such as user and device count, number of locations, ATM or self-service technology in use, existing infrastructure, cloud services, and applicable compliance requirements. UPTech IT reviews your environment before providing a clearly defined proposal. Our managed IT pricing guide explains common pricing structures and included services.