Security & Compliance
Shield Me is being designed to align with the regulatory, security, and operational expectations of U.S. financial institutions, including banks and credit unions in a way that has not been seen in our industry.
We seek to not just meet expectations, but succeed them to ensure the utmost security for all institutions who trust us with their risk mitigation needs.
Frameworks & Regulations
Shield Me is structures as a technology service provider (TSP) supporting regulated financial institutions. The below are examples of what financial regulations our systems will be compliant with upon completion of our full system.
Gramm-Leach-Biley Act (GLBA)
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Safeguards Rule (16 CFR Part 314)
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Privacy Rule (16 CFR Part 313)
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Protection of NPI and customer information
FFIEC IT Examination Handbook
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Information Security
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Architecture, Infrastructure, and Operations
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Outsourced Cloud Computing
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Business Continuity & Incident Response
OCC / FDIC / Federal Reserve Third-Party Risk Guidance
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Vendor due diligence
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Ongoing monitoring
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Audit rights
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Risk classification (Tiering)
State Privacy Laws
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CCPA / CPRA (California)
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State breach notification laws (multi-state coverage)
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One-Party vs Two-Party Consent Laws (multi-state coverage)
Security Frameworks
Shield Me is committed to a secure system architecture that meets industry standards in cybersecurity compliance. Below are some of the following certifications and frameworks that will be integrated upon full system completion.
SOC 2 Type II
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Ensures security, availability, confidentiality, and overall processing integrity
NIST Cybersecurity Framework (CSF)
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This framework outlines the process that should be taken when identifying, protecting from, detecting, responding to, and recovering from cybersecurity attacks. This ensures proper process is followed from attack anticipation to post-attack recovery.
NIST SP 800-53
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Outlines security and privacy controls for information systems to protect them from hostile attacks, human error, natural disasters, structural failures, foreign intelligence entities, and privacy risks.
NIST SP 800-171
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Outlines data handling best practices for organizations and ensures proper application of data access controls & data encryption both at rest, and in transit.
Data Security & Privacy
We are committed to ensuring the security of all data both at rest and in transit. Below is a brief overview of how we intend to ensure this via data protection principles, encryption, and access controls.
Data Protection Principles
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Data minimization by design
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Purpose-limited data processing
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Least-privilege access model
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Secure deletion and retention policies
Encryption
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Data in transit
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TLS 1.2+ encryption
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Data at rest
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AES-256 encryption
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Key management
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Managed via secure cloud KMS
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Privacy & Access Controls
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Role-based access control (RBAC)
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MFA for administrative access
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Logged and auditable access events
Auditability, Logging, and Data Retention
Auditability is a cornerstone of Shield Me's design, ensuring fully auditable data structures that log every internal action taken by the system while ensuring redacting of protected personal data. Below is an outline of how we intent our systems to be fully auditable, and compliant regarding the storage of all data associated with our systems once complete.
Audit-Ready Architecture
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Immutable audit logs
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Timestamped event tracking
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Call analysis metadata (not raw audio retention)
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Redacted transcript storage
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Alert decision trails
Audit Support
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Exportable logs (CSV / JSON)
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Evidence packages for:
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Model decisions
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Access events
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Configuration changes
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Support for bank internal audits and regulatory exams
Retention Model
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No storage of raw audio
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Temporary processing only
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Configurable retention policies
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Client-specific retention controls
Deletion Controls
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Secure deletion procedures
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Retention alignment with client policy
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Right-to-delete support (where applicable)
Incident Response, Business Continuity, & Vendor Management
Ensuring our ability to vet our vendors and respond to threats is of the utmost importance in supporting the trust of our future partners. Once completed, the Shield Me system will have specified workflows so that we are ready to act swiftly to minimize risks and attacks from potential threat actors.
Security incident Response
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Documented incident response plan
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breach notification workflows
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Regulatory notification readiness
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Root cause analysis procedures
Business Continuity
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Cloud redundancy
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High-availability architecture
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Disaster recovery planning
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Defined RTO / RPO targets
Third Pary & Vendor Management
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Cloud infrastructure
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SOC 2
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ISO 27001 (where applicable)
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Vendor risk assessments
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Sub-processor disclosure readiness
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Data flow documentation
Compliance Documentation & Roadmap
Once completed, Shield Me intends to be fully vetted and compliant with all applicable data security, financial, and risk mitigation laws and regulations as well as industry standard certifications. Below are a few of our planned compliance documents and milestones.
Compliance Documentation
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Information Security Policy
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Data Privacy Policy
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AI Usage & Ethics Policy
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Incident Response Plan
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Business Continuity Plan
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Data Flow Diagrams
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Risk Assessment Summary
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Vendor Management Policy
Planned Milestones
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SOC 2 Type I
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SOC 2 Type II
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Annual Penetration Testing
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independent Security Assessments
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Expanded AI Governance Reporting