Financial Services & Real Estate

Image

Rob Duggan has served Financial Services and Real Estate nationally with top global firms, and can partner with you to ensure your business infrastructure is supported, protected and in compliance with SEC Security & Privacy regulations.

Service Capabilities

SEC Reg. S-P Safeguards Rule, Red Flag Rule Compliance for Registered Investment Advisors & Broker-Dealers

We have the tools and experience with cybersecurity and privacy rule compliance to ensure your systems are secure and in compliance with Regulation S-P / S-ID. Rob has served as engagement lead auditor over comprehensive IT Security services for Financial Services firms up to $4B.
Image

  • NCUA IT Security Compliance for Credit Unions
    KellerDuggan has a comprehensive and scalable IT Compliance tool for NCUA Compliance Safeguard Rules for Credit Unions. We do not just identify issues, we provide solutions, and can work collaboratively with your IT provider to ensure effective security controls are implemented correctly.
  • Complex Issue Resolution & Interim CIO / CISO / CFO / Controller
    If your organization has a problem related to internal controls, IT security management, financial reporting, or regulatory compliance, you can count on us to effectively and collaboratively project manage solutions in coordination with your legal team and key personnel. It is more cost - effective to have a qualified professional with global issue resolution experience driving your professional teams on the correction and helping you balance varying opinions with risk. We completed a successful 8 year “DFVCP” for client HR team resulting in avoidance of over $1M in penalties and “DoL No Action” letter for a large regional client, and also have served as interim controller for $100M performance manufacturing and a $20M winery with clean audit opinions issued alongside significant process improvements and 7 figure cost reductions.
  • Internal Audit Services - IT / Financial / Operational
    Rob has engagement managed over 10 publicly traded REIT/ FS clients having more than $1B in assets, developed best practices for audit throughout his career and produces measurable results with every review. From specified testing to development of world-class internal audit functions and metric driven continuous audit programs, procedures are designed to target significant risk concentrations based on 20 years of audit experience in over 25 different countries. Not only do we identify root cause effectively, we also provide best practices for control remediation and process improvement. We do not just tell you something is broken - we help you fix it.
  • EMR / ERP / FRP Software Implementation Assurance
    Implementation assurance is key to ensuring your client’s new Enterprise Resource Planning or Financial Reporting software has a successful go-live and meets desired outcomes. Epic, Homecare Homebase, Peoplesoft & Workday implementation assurance project recommendations and control improvements have avoided 7-8 figure losses each.
  • Fraud Prevention and Detection
    How secure are your organization’s accounts payable, disbursements, and procurement processes? Are payroll controls effective? Are system segregations of duties in place / effective? What about related application security? What measures or analytics are on top of these processes to alert you of issues? We have the tools and techniques from over 10 years of international work and have implemented industry leading fraud prevention and detection controls, including data extraction, modeling, and reporting / monitoring tools.

Book a Consultation