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Success Stories
 
 
A diversified financial services company engages in OCC audit for compliance with government security regulations
 
 

Situation
This client is a diversified financial services company with divisions for consumer products and home equity lending. Following are some examples of our work that we have carried out in the recent past:
 
The client underwent an audit by the U.S. Department of the Treasury - Office of the Comptroller of the Currency (OCC) for compliance with government security regulations. Sogeti was engaged to assist the client with procedural and technical aspects of the audit requirements. The procedural solution included the development of an audit matrix (to drive current and future audits) and the development of procedures in areas of non-compliance. The technical solution encompassed selection and deployment of key system components for securing the client's system platforms. This project addressed part of the procedural solution.
 
Solution
The project scope included the development of a security matrix to assist in the audit of the system environment's compliance with OCC requirements. It also comprised the actual evaluation of the different aspects of security compliance categories (logical access control, network security, vital record protection, disaster recovery, micro-computing controls, etc.).
 
Sogeti developed the matrix through a review of the client's internal security policies and procedures. Each identified category was then evaluated for compliance. In the event of non-compliance, Sogeti prescribed the means for correcting the deficiency. The evaluation consisted of an integrity check on each security requirement (content and parties involved) and a "test audit" to verify whether these requirements were properly carried out.
 
 
Benefits
The Sogeti approach provided the client with a preview of what the OCC audit would flag for non-compliance. In many instances, Sogeti's audit standards proved more stringent than the OCC requirements. Sogeti succeeded because of a clear articulation of scope, deliverable, and expectations from the client's perspective. In addition, the delivery team had worked together on previous engagements and was focused on achieving key milestones throughout the project.
 
 
 
 
   
 
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