Plainview Risk provides wealth management firms, financial advisors, and broker-dealers with a fully managed, enterprise-grade security awareness program. We design, deliver, and document the entire program — helping your firm meet compliance obligations, demonstrate cybersecurity maturity, and stay focused on serving clients without the cost of building the function internally.
Financial services firms with fewer than 100 employees carry the same cybersecurity and compliance expectations as much larger institutions. Regulators, cyber insurers, and clients increasingly expect firms to maintain an active, documented security awareness program.
Most firms of this size do not have a dedicated security or compliance team — and they shouldn't need one. Your team should be focused on serving clients and growing the business, not managing training campaigns, phishing simulations, and compliance reporting.
Plainview serves as your outsourced security awareness program owner. We design the program, manage delivery, track participation, run simulations, and maintain the documentation needed to demonstrate that your firm is proactively managing human risk.
We serve as your dedicated program owner — handling curriculum design, delivery, and escalation end to end, with a single accountable point of contact.
Compliance documentation is maintained on a continuous basis, organized to examiner standards — so reviews proceed without disruption to your operations.
Our Human Risk Report provides underwriters with structured, documented evidence of an active program — a meaningful input to premium and coverage discussions at renewal.
We run a year-round program with current content. Completion tracking and all staff-facing communications are managed by our team, not yours.
We assume full ownership of your security awareness and human risk function — every component, one accountable point of contact, no internal overhead.
Plainview provides you with a Compliance Report and a Human Risk Report. Each is built for a different reader with a different purpose.
Documents what happened, who completed what, and when. Structured to satisfy SEC, FINRA, and state examiner requirements — formatted for presentation, not assembly.
Shows where risk actually sits, how it is trending, and what is being done to reduce it. The document your underwriter wants to see at renewal — and your leaders should review throughout the year.
We handle setup, delivery, and reporting end to end. Your team's involvement is intentionally limited.
One structured conversation covers your firm's regulatory posture, insurance requirements, staff profile, and current gaps. No lengthy questionnaires.
We configure your training platform, phishing scenarios, and reporting cadence — calibrated to your firm's size, role structure, and risk appetite.
Staff are enrolled, new hire automation is activated, and the first simulation wave is scheduled. We manage all internal communications on your behalf.
Reports arrive in your inbox. We manage everything between deliveries — escalations, content refreshes, renewals, and remediation workflows.
Firms that engage Plainview Risk develop a program that holds up under regulatory scrutiny, supports better insurance economics, and builds lasting staff competency.
Compliance documentation is maintained on a rolling basis — organized, current, and presentable on request. Regulatory reviews and client due diligence processes proceed without operational disruption.
Underwriters evaluate risk in part based on the quality of documented controls. Our Human Risk Report gives them a structured view of your program — a substantive input to premium and coverage negotiations at renewal.
Phishing susceptibility rates improve measurably over time with continuous education. Staff develop sound judgment around common threat vectors and understand how to escalate concerns appropriately.
A 30-minute introductory call lets us understand your regulatory environment, current program state, and what a well-designed engagement would look like. No obligation.
Schedule an Introduction