The operating security program for small SEC-registered advisers.
Rooksignal connects SEC compliance expertise with practical Microsoft 365 operations—so your firm can run the program, preserve the evidence, and face the examination with fewer loose ends.
Remote delivery · flat monthly retainer · built for lean teams
Signal board
Program status / operating
The gap we close
Compliance knows the rule. IT knows the tenant. Your examination needs both.
Rooksignal is the operating layer between a compliance consultant who understands the SEC and an IT provider who understands systems. We turn the requirements into a maintained program your team can actually run.
Tenant baseline
A practical view of how the Microsoft 365 environment is configured today.
Identity & access
MFA and Conditional Access that match the firm’s real operating risk.
Information handling
DLP, retention, backup, and vendor oversight organized around the data that matters.
Response & governance
Incident procedures, customer-notification workflows, and Reg S-ID governance that can be exercised.
What you receive
An operating rhythm your compliance file can keep up with.
The work is organized around the controls, workflows, and evidence that matter to a lean adviser—not around adding another system for your team to babysit.
Tenant controls
MFA · Conditional Access · DLP · retention · backup
Third-party risk
Vendor inventory and oversight that stays current
Response readiness
Incident procedures and customer-notification workflows
Governance
Reg S-ID operating practices with owners and evidence
How it works
A fixed cadence. A living program.
Rooksignal makes the work repeatable enough to operate and specific enough to stand up to scrutiny.
Baseline
Map the tenant and the firm’s current control posture.
Operate
Put the safeguards, owners, and procedures into motion.
Organize
Continuously monitor and keep evidence in examination shape.
Exercise
Deliver quarterly evidence packs and an annual tabletop.
Quarterly
Evidence packs
Annual
Tabletop exercise
Ongoing
Monitoring & organization
Questions worth asking
A clearer answer to “are we ready?”
Start with the gap
Make your security program easier to operate—and easier to evidence.
Tell us where compliance and Microsoft 365 currently meet in your firm. We’ll start there.
Email Rooksignalrooksignal-bptw0g@polsia.app