R Rohit Kumar Architect
Regulated Industry Solutions

Financial Services SharePoint & Microsoft 365 Architecture

Turnkey M365 architectures engineered specifically for asset managers, hedge funds, banks, and fintechs. Comply with SEC, FINRA, SOX, and GLBA standards.

SEC 17a-4 Immutable Storage

Configure Microsoft Purview Preservation Lock on SharePoint document retention policies to enforce WORM (Write Once, Read Many) compliance with legally binding immutable records.

Purview Information Barriers

Prevent conflicts of interest between Investment Banking, Research, and Trading desks by implementing automated communication barriers across Teams and SharePoint sites.

Automated PII & GLBA DLP

Detect customer financial records, account numbers, and wire instructions automatically—blocking unencrypted external sharing and alerting compliance officers in real-time.

Schedule a Regulated Tenant Architecture Review

Consult with Principal Architect Rohit Kumar to verify your Microsoft 365 compliance posture and prepare for SEC/FINRA regulatory examinations.

Book Strategy Call View Banking Case Study

Financial Services Security & Regulatory Compliance Blueprint

SEC Rule 17a-4 & FINRA WORM Retention

Financial institutions are legally mandated to retain broker-dealer communications and investment records in non-rewritable, non-erasable (WORM) format. We configure Microsoft Purview Retention Locks, ensuring preservation policies cannot be deactivated, altered, or overwritten even by Global Tenant Administrators during legal audit windows.

Information Barriers & Ethical Walls

Prevent illegal insider communication between investment banking and equity research divisions. We establish Purview Information Barriers that programmatically block Microsoft Teams 1:1 chats, group meetings, and SharePoint file sharing between restricted user groups.

Automated Loan Origination & KYC Workflows

Modernize loan processing with Power Automate and SharePoint secure document vaults. Customer financial statements and KYC identity proofs are ingested, scanned for malware, watermarked with sensitivity classification, and routed through multi-tiered credit underwriting approval hierarchies.

Customer Key (BYOK) & Double Key Encryption

Meet stringent banking data sovereignty mandates by deploying Microsoft Purview Customer Key utilizing Azure Key Vault Managed HSMs. Your enterprise maintains independent cryptographic custody over root encryption keys for SharePoint, OneDrive, and Exchange data at rest.

Regulated Financial Services Security Framework

Financial organizations demand uncompromising security and auditable compliance. Our architecture ensures you meet SEC, FINRA, and SOX standards natively.

WORM Retention & Audit Trails

To meet SEC Rule 17a-4, we configure immutable storage policies (WORM). Tenant data is locked against deletion or alteration—even by admins—ensuring your audit trails are resilient against ransomware and internal tampering.

Information Barriers

We enforce strict organizational ethical walls using Purview Information Barriers, preventing illicit data sharing or communication between investment banking and equity research divisions.

Financial Services Architecture: Loan Origination & KYC Systems

Automated KYC Document Processing

AI Builder models extract structured customer data from tax returns, pay stubs, and photo IDs uploaded to secure Power Pages portals, routing them to core banking APIs.

Immutable SOX Section 404 Audit Trails

All credit decision workflows in Power Automate log execution hashes directly to immutable Dataverse audit tables with 7-year regulatory retention locks.

Fintech & Wealth Management Portal Solutions

Secure Client Document Vaults: Architect branded Power Pages portals where wealth management clients securely upload tax forms, estate documents, and signature packets with end-to-end encryption and automated document verification.

Automated Compliance Approvals: Streamline marketing material approvals under FINRA Rule 2210 using multi-tiered Power Automate approval workflows with immutable compliance logging.