Operational resilience
Regulators expect tested resilience of important services.
How we help: ISO 22301 continuity with impact analysis and exercises.
Industry
Banking & Finance
Financial institutions must show regulators that ICT risk, operational resilience, conduct and data protection are under control. We build management systems that provide that evidence and integrate with your existing risk framework.
Challenges we solve
Pressures on financial institutions
Operational resilience rules, third-party risk and conduct expectations keep rising.
ICT and cyber risk
Attacks on customer data and payment systems.
How we help: ISO/IEC 27001 aligned with DORA ICT risk expectations.
Third-party risk
Cloud and fintech dependencies.
How we help: Supplier controls in ISO/IEC 27001 and ISO 22301, with ISO/IEC 27017 for cloud.
Compliance and conduct
Regulatory obligations across many rulebooks.
How we help: ISO 37301 compliance management and ISO 37001 anti-bribery.
Customer data privacy
Data protection across products and markets.
How we help: ISO/IEC 27701:2025 privacy management.
AI in decisions
Credit, fraud and customer models under scrutiny.
How we help: ISO/IEC 42001 AI governance and ISO 31000 risk framework.
Recommended standards
Standards for financial services
Core standards first, then the additions your customers, regulators or risks call for. Most run as one integrated management system.
Regulatory context
Requirements that shape your system
Management systems help you meet these obligations and show evidence of control. They do not replace the obligations themselves.
DORA
EU Digital Operational Resilience Act, applying since January 2025, on ICT risk, incidents, testing and third parties.
Cyber and resilience rules
National operational resilience and cybersecurity requirements from financial regulators.
Payment security
Payment card and payment services security requirements such as PCI DSS.
Conduct and anti-bribery
Anti-bribery, anti-money-laundering and whistleblowing laws.
Which requirements apply depends on your jurisdiction and activities. We map your system to the ones that apply to you.
How we work with financial services
One partner, gap to certificate
01
Consultancy
Gap assessment, implementation and integrated systems built around how financial services operations really work.
02Certification support
Certification body selection, mock audits and Stage 1 and Stage 2 support.
03Training Academy
Awareness to CQI/IRCA Lead Auditor, in-house or public.
04Ongoing partnership
Outsourced internal audit, management review and 2026 transitions.
Training Academy
View the Training Academy
Training for financial services teams
CQI/IRCA Approved Training Partner. Awareness, Implementer, Internal Auditor and Lead Auditor courses, in-house, public, virtual or hybrid.
Popular courses for this sector: ISO/IEC 27001, ISO 22301, ISO 37001, ISO 37301.
Questions
Banking & Finance FAQ
Does AEC issue the certificates?
No. Certificates are issued by independent certification bodies accredited by UKAS, DAkkS or an equivalent national accreditation body, or by the scheme-specific bodies some standards require. AEC prepares your organisation for those audits.
Does ISO/IEC 27001 make us DORA compliant?
No. DORA sets specific legal obligations. ISO/IEC 27001 and ISO 22301 provide the management frameworks DORA expects, and we map your system to its requirements.
Can ISO standards fit our existing three lines model?
Yes. Management systems sit within your governance and risk framework; we align roles and reporting rather than creating a parallel structure.
Plan your resilience and compliance system
Tell us your services, regulators and current frameworks. We reply with a proposal covering implementation and certification support.
Certification decisions are made by independent, accredited certification bodies. AEC prepares organisations for certification and does not guarantee certification outcomes.