ComplyShield
for Banks & Credit Unions
Meet DORA, FFIEC, NYDFS, and SEC requirements with a single compliance platform purpose-built for banking institutions.
The Challenge
What keeps banking compliance officers up at night
DORA Compliance Deadlines
The Digital Operational Resilience Act is in effect since January 2025. Banks must demonstrate ICT risk management, incident reporting, resilience testing, third-party oversight, and information sharing capabilities to supervisors.
FFIEC Examination Readiness
Federal examiners expect documented IT risk assessments, vendor due diligence, incident response plans, and business continuity programmes. Manual spreadsheets do not scale.
Vendor Risk Explosion
Banks rely on hundreds of ICT third-party providers. Tracking contracts, conducting due diligence, and monitoring concentration risk across that ecosystem is overwhelming.
Incident Reporting Deadlines
DORA requires initial notification within 4 hours, intermediate report in 72 hours, and final report in 30 days. SEC 8-K requires material incident disclosure within 4 business days. Missing a deadline means regulatory scrutiny.
The Solution
How ComplyShield helps banks
ICT Asset Registry
Catalogue every server, application, network device, and cloud service. Map dependencies between critical business functions and ICT assets.
Incident Workflows
Wizard-driven incident classification against DORA criteria. Automated deadline tracking for 4h/72h/30d reports and SEC 8-K filings.
Vendor Oversight
Track all ICT third-party providers, send self-service assessments, monitor contract dates, and analyse concentration risk across critical functions.
Risk Heat Maps
Visual risk matrices with likelihood/impact scoring. Auto-calculated risk levels, trend charts, and board-ready PDF reports for risk committee briefings.
Regulatory Exports
Generate DORA Register of Information (15 xBRL-CSV templates), SEC 8-K disclosures, FFIEC-ready documentation, and board reports with one click.
Compliance Mapping
Track compliance article-by-article across DORA, NYDFS, FFIEC, and OCC guidelines. Map controls, assign owners, and monitor gap closure.
Regulatory Coverage
Key regulations for banking institutions
DORA
EU 2022/2554
Digital Operational Resilience Act — all 5 pillars covered
NYDFS 500
23 NYCRR 500
NY Department of Financial Services cybersecurity regulation
FFIEC
IT Examination
Federal Financial Institutions Examination Council IT handbook
OCC
Third-Party Guidance
OCC third-party risk management guidance for national banks
Ready to streamline banking compliance?
See how ComplyShield helps banks and credit unions meet DORA, FFIEC, and NYDFS requirements from a single platform.
Request Demo