About Us

Annual Compliance Reviews

Stay prepared year-round with reviews that keep your compliance programs current and reliable.

Annual Compliance Reviews from MikeRockwell are designed to give organizations peace of mind by making sure their operations stay aligned with the latest regulations and industry standards. Companies in banking, insurance, healthcare, and other tightly regulated fields face constant pressure to prove that their systems and processes can stand up to scrutiny. These reviews take the guesswork out of that responsibility by checking policies, controls, and procedures against recognized requirements, then highlighting where adjustments are needed.

Each review is carried out with practical business realities in mind. Our team examines how compliance measures are applied day to day, testing their reliability and identifying areas that might cause problems during an audit. Whether the focus is data protection, security controls, or industry-specific obligations, the outcome is a clear set of findings and recommendations that your leadership team can act on immediately. This keeps you a step ahead of regulators and avoids the cost, stress, and reputational risk of last-minute fixes.

The value goes beyond audit readiness. Regular reviews send a strong signal to your customers, partners, and employees that your organization takes accountability seriously. When compliance is treated as a steady discipline rather than a one-off project, it strengthens trust and supports long-term growth. With MikeRockwell’s guidance, businesses can manage oversight with confidence, knowing that their compliance programs aren’t just meeting the minimum requirements but are working as a dependable safeguard for the organization’s future.

SOC Examinations

Independent reviews that prove your security controls are working and build trust with clients and partners.

For organizations handling sensitive financial or customer data, proving that internal controls are reliable isn’t optional it’s expected. MikeRockwell’s SOC Examinations provide that proof through a thorough review of security practices, IT systems, and operational safeguards. Whether you need SOC 1, SOC 2, or SOC 3 reporting, our team works with you to assess how well your controls are designed and operating, then delivers documentation that auditors, regulators, and business partners can trust.

These examinations are especially valuable for service providers in industries like finance, healthcare, and insurance, where reputational risk is high and compliance requirements are strict. A SOC report demonstrates to clients that you have the right measures in place to protect their information and that you are committed to maintaining those standards over time. Beyond meeting external expectations, the process gives leadership a clear view of how internal systems hold up under scrutiny, highlighting both strengths and areas for improvement.
What sets our approach apart is the focus on collaboration. We don’t just run through a checklist and leave you with a report we guide your team through the preparation process, explain findings in plain language, and help prioritize any fixes that may be required. This reduces the stress that often comes with audits and builds internal confidence in your control environment. With a SOC Examination backed by MikeRockwell, your business gains more than a compliance certificate it gains the trust and assurance needed to compete in demanding, regulated markets.

HIPAA Attestation

Demonstrate that your healthcare data practices meet HIPAA standards and protect patient privacy.

Healthcare organizations face unique pressure to keep patient information safe. The Health Insurance Portability and Accountability Act (HIPAA) requires strict safeguards for handling protected health information, and failure to comply can lead to major penalties and loss of trust. MikeRockwell’s HIPAA Attestation service helps providers, insurers, and partners show that their systems and processes meet regulatory requirements for privacy and security.

Our team reviews how patient data is collected, stored, transmitted, and accessed across your organization. We assess administrative policies, technical controls, and physical safeguards, ensuring each element aligns with HIPAA’s privacy and security rules. Where we identify gaps, we provide clear recommendations that strengthen protections without adding unnecessary burden to your teams. The process results in an attestation that demonstrates compliance to regulators, partners, and patients.

This service is especially valuable for hospitals, clinics, insurers, and third-party vendors that manage sensitive medical data. By securing HIPAA attestation, you not only reduce the risk of regulatory penalties but also gain credibility in the marketplace. Partners are more willing to work with organizations that can prove their compliance, and patients are more confident entrusting their information to a provider that prioritizes their privacy.

HIPAA attestation is more than a box to check it’s proof that your organization takes accountability seriously. With MikeRockwell’s expertise, you gain the assurance that your compliance program is effective, your data safeguards are reliable, and your reputation is protected in a highly regulated industry.

Human Capital

Equip your teams with the skills and support they need to excel with new systems.

Technology investments only succeed when people know how to use them effectively. MikeRockwell’s Human Capital service ensures your teams are trained, supported, and ready to get the most out of new systems and processes.

We provide tailored training programs that match the specific tools and workflows your organization relies on. Sessions can focus on compliance procedures, customer service platforms, or specialized applications, depending on your needs. Alongside training, we deliver ongoing support so employees have a reliable resource to turn to when questions arise.

For industries under regulatory oversight, proper training is more than just good practice it’s essential to proving compliance. A well-trained workforce reduces the risk of errors, strengthens audit readiness, and builds confidence among regulators and partners.

By investing in human capital, organizations gain more than skill development they build resilience. Employees feel equipped to handle challenges, adapt to change, and contribute directly to the success of the business. With MikeRockwell’s guidance, training and support become a strategic advantage, ensuring that technology and people move forward together.

Quality Assurance

Catch problems before they reach customers with testing that keeps your systems reliable and compliant.

Every business depends on technology that works as promised, especially in industries where mistakes can trigger compliance violations or erode customer trust. MikeRockwell’s Quality Assurance service helps organizations identify and resolve issues in applications, platforms, and processes before they disrupt operations or appear in an audit. By combining technical testing with compliance checks, we ensure your systems meet both performance and regulatory standards.

Our approach covers functional testing, security validation, and usability reviews. We look at how systems behave under normal use, how they respond to stress, and how well they protect sensitive data. The goal is not just to confirm that a product “works,” but to verify that it works consistently, securely, and in line with the obligations of your industry. Any issues uncovered are documented with clear recommendations for remediation, giving your teams the information they need to take fast action.

This service is particularly important for regulated sectors like finance, healthcare, and insurance, where system failures or unnoticed vulnerabilities can lead to penalties or loss of customer confidence. By embedding quality assurance into your development and operational cycles, you gain confidence that every release, update, and process change supports both your business goals and compliance obligations.

With MikeRockwell’s Quality Assurance, technology becomes an enabler, not a risk. Your organization avoids the costly downtime and reputational harm caused by errors, while demonstrating to regulators and clients that you take reliability and accountability seriously.

Modernization & Transformation

Revitalize legacy systems by adding new capabilities while preserving what still works.

Outdated systems can hold back growth, introduce security risks, and complicate compliance. MikeRockwell’s Modernization & Transformation service helps organizations refresh aging technology while keeping the strengths those systems still provide.

We assess legacy environments to identify where performance, scalability, or security falls short. Then we design solutions that modernize infrastructure, applications, and workflows. That might mean introducing automation, moving workloads to the cloud, or re-engineering platforms for better integration. Throughout the process, we make sure existing value is preserved, so you don’t lose the functions your business relies on.

Modernization is particularly important for regulated industries, where outdated systems can fail audits or expose sensitive data. By upgrading technology with compliance requirements in mind, we help organizations reduce risk while unlocking new opportunities.

The outcome is a technology environment that works faster, adapts more easily, and supports long-term growth. With MikeRockwell, modernization becomes less about ripping and replacing and more about creating a stable, forward-looking foundation for your business.

Migration

Move to new platforms with careful planning that minimizes downtime and protects your data.

Technology evolves, and eventually, every organization needs to transition to new platforms. MikeRockwell’s Migration service ensures those moves are executed safely, efficiently, and without jeopardizing compliance.

We handle every stage of migration, from planning and risk assessment to data transfer and final validation. Our team works to minimize downtime by scheduling transitions with precision and ensuring systems are fully tested before going live. Data integrity is a top priority—we implement safeguards to protect information during transfer so nothing is lost or exposed.

For regulated industries, migrations carry added risks. Data must remain secure, and systems must continue meeting audit and reporting requirements throughout the transition. By managing migrations with these needs in mind, we protect your organization from unnecessary exposure and regulatory complications.

Whether you’re moving to the cloud, upgrading core applications, or consolidating systems, MikeRockwell ensures the process runs smoothly. With us managing the transition, your business gains new capabilities without the headaches of disruption.

Technology Operations

Keep your technology running smoothly with steady oversight and expert management.

Day-to-day technology management often pulls focus away from strategic priorities. MikeRockwell’s Technology Operations service takes on that responsibility, ensuring systems are reliable, secure, and always available when needed.

We manage infrastructure with constant monitoring, routine maintenance, and proactive issue resolution. Whether it’s servers, applications, or compliance systems, our oversight ensures everything performs as expected without causing disruptions for your teams. When incidents do occur, we resolve them quickly and document the process to support transparency and audit readiness.

This service is especially important for organizations that cannot afford downtime or lapses in security. In industries like banking, healthcare, and insurance, system interruptions don’t just frustrate employees they can result in compliance violations or lost trust from customers.

By outsourcing technology operations to MikeRockwell, leadership can shift their focus back to growth and innovation, knowing that critical systems are being maintained by experts. The result is reduced risk, lower costs, and smoother operations across the board

Product Evaluations

Choose the right tools with evaluations that measure performance, security, and compliance.

With so many technology options available, selecting the right product can feel overwhelming especially when mistakes carry financial and compliance risks. MikeRockwell’s Product Evaluations service gives organizations a clear, objective view of whether a tool is the right fit before they commit.

We evaluate products based on how they align with your operational requirements, technical environment, and regulatory obligations. This includes assessing performance, integration capabilities, security features, and total cost of ownership. Instead of relying on vendor claims, you get independent validation of how well a product meets your goals.

Product evaluations are especially valuable for industries where compliance is non-negotiable. A healthcare organization may need assurance that a platform meets HIPAA standards, while a financial firm must verify compatibility with reporting and audit requirements. In both cases, choosing the wrong product can create unnecessary risk.

By working with MikeRockwell, you avoid costly missteps and gain confidence that your technology investments support both efficiency and accountability. Our evaluations turn product selection from a gamble into a strategic decision backed by evidence.

Architecture & Consulting

Design technology environments that are reliable, scalable, and aligned with your compliance needs.

The structure of your technology environment determines how well it performs under pressure. MikeRockwell’s Architecture & Consulting service helps organizations make smart design choices that support both business growth and compliance obligations.

We assess your current infrastructure, identify areas where performance or reliability may be falling short, and design solutions that solve those problems. That could mean recommending a move to the cloud, improving integrations between systems, or strengthening security around sensitive data. Every recommendation is tailored to your operational priorities and industry requirements.

For companies in regulated sectors, architectural decisions carry added weight systems must not only perform but also withstand audits and maintain data integrity. By aligning technical design with these demands, we assure leadership that their systems can scale safely and effectively.

Our consulting approach is collaborative. We guide your teams through technical decisions, provide clear roadmaps for implementation, and ensure each change supports both immediate needs and long-term strategy. With MikeRockwell’s Architecture & Consulting, organizations gain environments that are built to perform and trusted to comply.

Application Development & Enhancement

Keep your applications effective and relevant with continuous updates and improvements.

Applications must evolve alongside business priorities, customer expectations, and regulatory requirements. MikeRockwell’s Application Development & Enhancement service ensures your systems don’t just work they keep working at their best.

We design, build, and enhance applications with usability and compliance at the forefront. That may include adding new features, improving performance, or updating security controls to match new regulations. Our focus is on making sure your teams can rely on applications day to day, without the frustration of outdated functionality or slow performance.

Enhancement isn’t limited to fixing what’s broken it’s about unlocking more value from the tools you already have. Whether that’s integrating analytics for better decision-making, streamlining workflows to reduce costs, or improving the user interface for smoother adoption, we adapt applications to match real-world needs.

This service is especially useful for companies that rely on complex systems to handle customer data, financial transactions, or compliance reporting. By keeping applications current, organizations avoid the risks of system downtime, security breaches, or regulatory gaps.

With MikeRockwell’s support, application development and enhancement become a steady process that strengthens operations, reduces risk, and supports growth without disruption.

Product Engineering & Implementation

Build and deliver solutions tailored to your business goals with speed and precision.

Every organization has unique needs, and off-the-shelf products rarely address them fully. MikeRockwell’s Product Engineering & Implementation service focuses on designing and delivering technology that aligns directly with business objectives. From concept to rollout, our team develops solutions that balance performance, cost-effectiveness, and simplicity.

We begin by understanding your requirements—whether it’s a new customer-facing application, an internal compliance system, or an upgrade to existing tools. From there, we engineer products with scalability in mind, making sure they work reliably today and remain flexible for tomorrow’s demands. Once built, we manage deployment carefully to minimize disruption, with full training and support provided to your teams.

This service is especially valuable for regulated industries, where technology must meet not just performance goals but also security and compliance obligations. A financial firm may need systems that integrate seamlessly with audit reporting, while a healthcare provider requires solutions that meet strict privacy rules.

With MikeRockwell’s engineering and implementation expertise, businesses gain solutions that are not only effective but also trusted by regulators, partners, and customers. The result is technology that drives growth and stands as a reliable foundation for your operations.

BSI C5

Catch problems before they reach customers with testing that keeps your systems reliable and compliant.

Every business depends on technology that works as promised, especially in industries where mistakes can trigger compliance violations or erode customer trust. MikeRockwell’s Quality Assurance service helps organizations identify and resolve issues in applications, platforms, and processes before they disrupt operations or appear in an audit. By combining technical testing with compliance checks, we ensure your systems meet both performance and regulatory standards.

Our approach covers functional testing, security validation, and usability reviews. We look at how systems behave under normal use, how they respond to stress, and how well they protect sensitive data. The goal is not just to confirm that a product “works,” but to verify that it works consistently, securely, and in line with the obligations of your industry. Any issues uncovered are documented with clear recommendations for remediation, giving your teams the information they need to take fast action.

This service is particularly important for regulated sectors like finance, healthcare, and insurance, where system failures or unnoticed vulnerabilities can lead to penalties or loss of customer confidence. By embedding quality assurance into your development and operational cycles, you gain confidence that every release, update, and process change supports both your business goals and compliance obligations.

With MikeRockwell’s Quality Assurance, technology becomes an enabler, not a risk. Your organization avoids the costly downtime and reputational harm caused by errors, while demonstrating to regulators and clients that you take reliability and accountability seriously.

NIST Assessment

Benchmark your security practices against NIST standards to identify weaknesses and strengthen defenses.

Cybersecurity threats put constant pressure on organizations, and regulators expect companies to follow trusted standards to manage those risks. The National Institute of Standards and Technology (NIST) provides one of the most widely recognized sets of security guidelines, used across industries to measure and improve resilience. MikeRockwell’s NIST Assessment helps organizations evaluate how closely their policies, controls, and technologies align with NIST standards, then pinpoint where improvements are needed.

Our team reviews your existing security environment across areas like access control, incident response, system monitoring, and data protection. We look at how policies are applied in practice, how incidents are tracked and resolved, and whether your safeguards are strong enough to handle today’s threats. The outcome is a clear report that highlights strengths, uncovers gaps, and provides practical recommendations for raising your security posture to the NIST benchmark.

This service is particularly important for companies in sectors like healthcare, finance, and government contracting, where regulators and business partners often require proof of alignment with NIST standards. Beyond meeting external expectations, a NIST Assessment gives leadership the confidence that the organization is protecting sensitive data in a disciplined and measurable way.

By addressing gaps before they become breaches, businesses avoid costly disruptions and show stakeholders that security is a top priority. With MikeRockwell’s guidance, the NIST framework becomes more than a compliance requirement it becomes a working tool for stronger security, reduced risk, and long-term trust.

GDPR Assessment

Evaluate and strengthen your privacy practices to meet GDPR standards and maintain customer trust.

The General Data Protection Regulation (GDPR) sets a high bar for data privacy, and non-compliance can result in significant fines and reputational harm. For any business handling personal data of EU citizens, demonstrating compliance isn’t just a legal obligation it’s a way to prove to customers that their information is dealt with responsibly. MikeRockwell’s GDPR Assessment helps organizations measure their current practices against GDPR requirements and close any gaps that could leave them exposed.

Our assessment encompasses the entire spectrum of data handling activities, from the collection and storage of personal data to its sharing and deletion. We review policies, consent mechanisms, security safeguards, and incident response procedures to ensure they meet regulatory expectations. Where weaknesses are identified, we provide clear, actionable steps to align your operations without adding unnecessary complexity.

This service is especially valuable for companies in finance, healthcare, retail, and global services that process large volumes of personal information. By undergoing a GDPR Assessment, your business can show regulators, partners, and customers that you take privacy seriously and that your data practices are transparent, secure, and lawful.

Beyond compliance, these assessments help organizations build stronger relationships with their customers. When people know their personal data is being protected, they are more likely to engage and stay loyal to your brand. With MikeRockwell’s guidance, your GDPR program becomes more than a regulatory requirement it becomes an asset that supports trust, accountability, and long-term business growth.

FSI Compliance & Operational Risk

Protect your financial services business with tailored solutions that manage regulatory demands and operational risks.

Financial services organizations operate under some of the strictest oversight in business. Regulations shift quickly, and even small gaps in compliance or risk management can lead to fines, reputational damage, and lost trust. MikeRockwell’s FSI Compliance & Operational Risk services are built specifically for banks, insurers, asset managers, and other financial institutions that need steady assurance that their operations meet regulatory expectations without slowing down business performance.

Our team works closely with compliance officers, legal teams, and operational leaders to assess existing processes, controls, and reporting structures. We identify where risks may slip through whether in data handling, transaction monitoring, or governance practices and design practical measures to close those gaps. By aligning your operations with standards like FINRA, SEC, OCC, and international banking regulations, we help you demonstrate control to regulators, investors, and customers.

But compliance isn’t just about avoiding penalties; it’s also about strengthening your business foundation. Effective risk management builds resilience, making sure you can withstand scrutiny, respond quickly to incidents, and maintain customer confidence even under pressure. With MikeRockwell, you get more than regulatory alignment you get a structured approach to protecting your reputation and ensuring business continuity.

The financial sector demands both speed and precision. Our solutions deliver both, giving you confidence that risks are identified, addressed, and documented in a way that supports long-term stability. By combining technical know-how with a clear understanding of regulatory expectations, MikeRockwell helps financial institutions manage complexity and stay firmly in control.

Discovery & Data Management

Organize and safeguard business data so it’s accessible, reliable, and audit-ready when you need it most.

The volume of data businesses handle today is staggering, and for regulated industries, the stakes are even higher. Poorly managed information can lead to missed deadlines, compliance failures, or gaps in audit readiness. MikeRockwell’s Discovery & Data Management services are designed to keep information organized, traceable, and secure so your teams can focus on operations rather than scrambling to find critical records.

We start by mapping how your data is created, stored, and accessed across systems. From there, we put processes in place to ensure information is cataloged accurately, retained for the right length of time, and easily retrievable for audits, investigations, or regulatory requests. This applies not only to structured data in systems but also to unstructured content like emails, contracts, and customer communications. By tightening control over the full data lifecycle, your organization avoids the hidden costs and risks of disorganized information management.

These services are particularly valuable for industries like finance, healthcare, and insurance, where regulators expect rapid, accurate responses to data inquiries. With strong discovery processes, you not only meet those obligations but also gain internal efficiencies teams spend less time tracking down files and more time driving value.

The real benefit is trust. When clients, partners, and regulators know your data is managed with precision and accountability, confidence in your business grows. With MikeRockwell’s support, discovery and data management stop being a liability and become a reliable strength in both compliance and operations.

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