Commercial Compliance Advisory

Compliance isn't
estimated. It's cited.

Citation-mapped GLBA, HIPAA, and SOC 2 readiness for banks and healthcare organizations that can't afford "probably compliant." Every finding traces to a real regulation — never AI-guessed.

3
Frameworks Covered
180
Day Delivery
16 CFR · 45 CFR · AICPA
Real Citations, Not Estimates
Who This Is For

Built for institutions that get examined.

Each program is scoped to specific regulatory exposure — not a generic security checklist applied to everyone.

Banking Program

Community Banks & Credit Unions

Institutions preparing for an FFIEC exam cycle who need GLBA Safeguards Rule evidence they can hand an examiner directly.

Banking Program

Fintechs & Financial Platforms

Companies handling nonpublic personal information under GLBA's financial-institution definition, not just traditional banks.

Healthcare Program

Health Systems & Providers

Organizations maintaining ePHI who need HIPAA Security Rule technical-safeguard evidence ahead of an OCR inquiry.

Healthcare Program

Health Plans & Payers

Entities with HITRUST validated-assessment ambitions who need a readiness baseline before the real audit.

SOC 2 (Any Industry)

B2B SaaS & Cloud-Native Companies

Vendors whose enterprise customers require a SOC 2 report before they'll sign — readiness before you engage a CPA firm.

SOC 2 (Any Industry)

Healthcare & Fintech SaaS

Digital-health and fintech platforms needing both a HIPAA/GLBA posture and a SOC 2 report for the same enterprise buyers.

What We Assess

Three frameworks. One standard of evidence.

Each assessment is built from your actual infrastructure configuration — not a questionnaire, not a template. Findings are mapped to the specific regulatory citation they violate.

16 CFR PART 314

Banking — GLBA / FFIEC CAT

Full technical-safeguard assessment against the Safeguards Rule, with FFIEC CAT-aligned maturity scoring and examination-ready evidence.

Safeguards RuleFFIEC CATMFA / IAM / Logging
45 CFR §164.312

Healthcare — HIPAA / HITRUST

Security Rule technical-safeguard assessment with HITRUST-aligned scoring, built for OCR inquiry and HITRUST validated-assessment prep.

Security RuleHITRUSTePHI Systems
AICPA 2017 TSC

SOC 2 Type II Readiness

Common Criteria readiness assessment ahead of your actual audit engagement — the gap analysis a CPA firm's Type II audit assumes you've already done.

CC6 / CC7 / CC8Type II Prep
Every Engagement Includes

Not just a scan. A delivered evidentiary record.

Standalone Board Briefing

A one-page governance-level summary, separate from the technical report — built for a board packet, not an engineer.

Serialized Corrective Action Plan

Every finding gets a citation, an owner, and a target date based on severity — not a generic checklist.

Recurring Evidence-Trend Reporting

Re-assessments are compared automatically: what's resolved, what's new, what's exceeded its own remediation window.

This is not a one-off scan. It's a full evidentiary program built on one architecture, proven across three regulatory regimes.

Multi-Framework Architecture

GLBA, HIPAA, and SOC 2 all run on the same citation-mapping engine — one standard of evidence across three regulatory regimes, not three vendors with three different methodologies.

Multi-Cloud Evidence

Findings are computed across AWS, Azure, and GCP configuration in the same engagement — most assessments only look at one cloud at a time.

Full Evidentiary Depth

A control maturity scorecard, control testing notes with methodology and population per citation, a complete evidence appendix, and an examiner-ready package manifest — not a findings summary.

A Remediation Roadmap, Not Just a Report

Every finding carries a citation, a severity-based target window, and named ownership — a corrective action plan an institution can actually execute against.

Built to Compound

Re-assessments are compared against prior runs automatically. The evidentiary record gets more valuable the longer it's maintained — not a snapshot that's obsolete the day it's delivered.

Board-Level and Technical, at Once

Every engagement produces both a full technical readiness report and a standalone board briefing — built for two different readers, from the same underlying evidence.

The SHIELD Platform

Deterministic where it matters. Assistive where it helps.

Findings are computed, not guessed. The only place a language model touches your report is the narrative framing on top of numbers that were already fixed before it ran.

FINDINGS

Citation-Mapped, Not Guessed

Every deficiency maps to a specific regulatory citation — 16 CFR 314.4(c)(5), 45 CFR 164.312(b) — computed from your declared configuration.

SCORING

Deterministic Maturity

CMM-style maturity ratings are calculated from finding severity and density — reproducible, not a model's impression.

NARRATIVE

AI-Drafted, Never AI-Sourced

Executive and board narrative is drafted locally around findings that already exist. The language model never originates a finding.

EVIDENCE

Built to Compound

Each re-assessment is compared against your last one automatically — an evidence trail that gets more valuable every quarter, not a one-off snapshot.

Why SHIELD Protocol

Built for the institutions that get examined.

Citation-Mapped, Not Estimated

Every finding in every report cites the exact regulatory section it relates to. If we can't map it to a citation, we say so — we don't pad the report to look thorough.

Single Comprehensive Delivery

180 days, one delivery — not a drip of milestone invoices for a program that could have shipped sooner. Deposit secures the engagement, balance due on delivery.

Advisory Boundaries, Clearly Stated

We tell you exactly what this assessment does and doesn't cover — including what still requires your Qualified Individual, your counsel, or a licensed CPA firm.

Built by Someone Who's Been Examined

Founded by a defense-sector analyst who brought the same evidentiary rigor DoD contractors are held to into banking and healthcare compliance.

James McCoy Jr.

CEO & Founder
  • DoD 8140 Advanced — Work Roles 511 & 612
  • Former Cyber Defense Analyst, Langley AFB
  • Prior: Collins Aerospace (RTX) — NAVSAFE / SUBSAFE / AS9100
  • CompTIA Security+ / CySA+ · Qualys Certified

SHIELD Protocol LLC began in defense contracting — building CMMC and NIST SP 800-171 readiness for the defense industrial base, where a single missed control can end a contract relationship. That's a specific kind of rigor: findings that cite exact controls, evidence that survives a real audit, and no room for "probably fine."

Banks and hospitals get examined too. They deserve the same standard of evidence — not a generic scan with a compliance label on it.

The commercial line applies that same discipline to GLBA, HIPAA, and SOC 2 engagements: deterministic findings, real citations, and reports built to be read by an examiner, a board, and outside counsel — not just an IT team.

Hampton, Virginia · Virginia LLC
Sample Deliverables

What actually lands in your inbox.

Illustrative excerpts from a sample engagement — not real client data. Every real report is built from your actual infrastructure configuration.

Corrective Action PlanIllustrative Excerpt
CRITCloudTrail not configured — no API audit trail15d
CRITMFA is not required for privileged accounts15d
HIGHNo customer-managed KMS keys — AWS-managed only45d
MEDNo organization policy baseline defined90d
Every row ships with a citation, an owner, and a severity-based target date — this excerpt omits both for space.
Evidence AppendixIllustrative Excerpt
16 CFR 314.4(c)(5) (Multi-Factor Authentication)

Requirement: Authentication of users prior to access to customer information systems

Evidence Item: identity_plane.aws.iam.mfa_required
Observed: MFA is not requiredCRIT
Full reports include every mapped citation with per-resource observed configuration state, not one example.
Control Maturity ScorecardIllustrative Excerpt
Access Controls
1 / 5
Encryption
2 / 5
Monitoring & Logging
1 / 5
Risk Assessment
5 / 5
CMM-style, 1 (Initial) to 5 (Optimized) — calculated from finding severity and density, never estimated.
Board BriefingIllustrative Excerpt

"The Board should be apprised that the institution's current control maturity score is 2.1 of 5.0, reflecting critical gaps in access control and audit logging that warrant prioritized remediation before the next examination cycle..."

Drafted locally around fixed findings — the narrative never originates a finding, it explains ones that already exist.
Engagement Pricing

Fixed-fee. No hourly billing.

50% deposit secures the engagement. Balance due NET 15 on delivery of the completed readiness package — not staged across milestones.

Banking Program

GLBA / FFIEC CAT

Custom
180 days · fixed-fee, scoped to your engagement
Delivered Package
  • GLBA Safeguards Rule readiness report
  • FFIEC CAT-aligned control maturity scorecard
  • SOC 2 Type II readiness assessment
  • Vendor risk advisory (SIG Lite-based review)
  • Board reporting package
  • Serialized Plan of Action and Milestones
  • Recurring assessment & evidence-trend reporting
Request Banking Assessment
Healthcare Program

HIPAA / HITRUST

Custom
180 days · fixed-fee, scoped to your engagement
Delivered Package
  • HIPAA Security Rule readiness report
  • HITRUST-aligned control maturity scorecard
  • HIPAA Privacy Rule policy gap review
  • OCR audit preparation package
  • Serialized Plan of Action and Milestones
  • Recurring assessment & evidence-trend reporting
Request Healthcare Assessment
Not Included In Either Program

Medical device cybersecurity review (IEC 62304 / ISO 14971) and ISO 27001 certification readiness are available only via separate engagement or referral partner. Penetration testing, social engineering testing, and physical security assessment are out of scope for both programs. Confirming that your Qualified Individual (GLBA) or Privacy/Security Officer (HIPAA) role is staffed remains your organization's responsibility.

Get Started

Request your assessment.

Tell us about your environment and compliance timeline. We respond within one business day.

Company
SHIELD Protocol LLC
Location
Hampton, Virginia
Email
james@shieldprotocolllc.com