CPA firms are under growing pressure to protect client data and meet strict compliance standards like GLBA, SOX, and state level regulations. Handling sensitive financial records, they face unique challenges such as secure data storage, encryption, access controls, and meeting cyber insurance requirements. Many firms struggle with outdated systems, lack of backups, or no security training putting them at risk of audits or breaches. In this article, we’ll share how Uprite IT Services helped a Texas based CPA firm modernize their IT, close compliance gaps, and build a secure, efficient setup that passed audits and made their busiest season smoother than ever.
Client Background
Our client was a growing CPA firm in Texas with about 20 employees. They relied on hosted financial software, maintained an internal file server, and had remote staff working during tax season. Previously, they used a general IT technician who helped with basic issues but lacked the skills and tools needed for security and compliance planning.
Key Challenges They Faced
Before working with Uprite, the firm struggled with:
- Poor patch management: Many workstations were outdated and missing security updates.
- No reliable backup plan: They used manual backups without testing or cloud redundancy.
- Mock audit failure: A pre audit review found major gaps like missing encryption and weak access control.
- System downtime: During tax season, slow systems and outages hurt productivity.
- Phishing attacks: Staff received fake emails and there was no proper awareness training in place.
They knew they needed help, but didn’t know where to start.
Turning Compliance Gaps into Operational Strengths
When they reached out to Uprite IT Services, our goal was to build a reliable, compliant, and secure IT foundation without disrupting their day to day work.
Here’s what we implemented:
1. Full IT Audit and Gap Report
We started with a complete audit of their existing systems. This included reviewing software versions, backup logs, firewall rules, antivirus coverage, and user permissions. We mapped their current risks and created a list of changes needed to meet compliance standards.
2. Automated Patching & Remote Monitoring
We set up tools that automatically apply software and system updates. Remote monitoring allowed us to keep an eye on issues before they became problems. This ensured all servers and computers stayed up to date with the latest security fixes.
3. Backup and Disaster Recovery Plan
Uprite IT Services set up a local backup system for quick file recovery and a cloud based backup to protect against disasters like ransomware or hardware failure. Backups were tested monthly to confirm they could be restored.
4. Encryption Across the Board
We applied AES-256 encryption for sensitive files, emails, and backups. This is a key requirement under GLBA and for most cyber insurance policies. We also helped them adopt secure portals for sharing tax returns and financial documents with clients.
5. Security Awareness Training
Every staff member received quarterly security training. We ran simulated phishing campaigns and gave feedback to help the team spot real threats. This helped reduce human error and increased staff confidence.
6. vCIO and Compliance Roadmap
We assigned a vCIO (Virtual Chief Information Officer) to lead the firm through a 12 month roadmap. This plan included budgeting, compliance priorities, and quarterly reviews. The goal was to keep improving over time and avoid falling behind again.
Results & Compliance Outcomes
After Uprite’s help, the firm saw big improvements:
- Passed a third party compliance audit with zero issues
- 40% fewer IT support tickets in the first 90 days
- 95% of devices patched within 24 hours (up from just 30%)
- Productivity increased during tax season due to fewer slowdowns
- Certified backup plan that passed their cyber insurance review
They were no longer reacting to IT problems they were ahead of them.
Client Testimonial (Paraphrased)
“We didn’t realize how exposed we were until Uprite IT Services stepped in. Their onboarding was clear, they worked with our auditor directly, and we now feel confident going into every tax season.”
What Other CPA Firms Can Learn
This CPA firm’s story isn’t unusual. We often find the same problems in other accounting firms, especially those relying on part time IT help or old tools.
Here are some lessons worth noting.
1. Don’t Rely on Just One Technician
A solo IT person, especially one without compliance training, can’t handle the full scope of what CPA firms need today. You need a team with tools and structure.
2. Backups, Patching, and Training Are the Foundation
Most compliance failures stem from these three areas. If you can’t recover data, don’t patch vulnerabilities, or leave staff untrained, you’re taking a big risk.
3. Being Audit Ready Saves Money and Stress
Trying to fix everything a week before an audit usually leads to panic. Planning ahead with an IT partner who understands CPA compliance saves time and avoids fines.
4. Your IT Provider Should Be a Risk Partner
The right managed IT provider isn’t just fixing your Wi-Fi or printers. They should be guiding you on how to protect your firm, your clients, and your reputation.
Top 5 IT Controls Every CPA Firm Needs (Visual Guide)
- Patch Management: Systems updated weekly
- Backup & Recovery: Tested backups, cloud-based + local
- Email & File Encryption: Protect client data
- Security Training: Staff knows how to spot phishing
- Access Logging: Track who accesses files and systems
These five areas often make or break audit success.
Conclusion
This case shows how the right IT partner can make a major difference for CPA firms facing growing compliance demands. By fixing weak spots in security, backups, and staff awareness, the firm not only passed its audit but also saw fewer tech problems and better productivity during tax season. If your accounting firm is unsure about its compliance readiness or tired of recurring IT issues, it’s time to take action. Uprite Services has the tools, team, and experience to help you stay secure and compliant. Visit Uprite Services to schedule your free IT risk assessment today.
FAQs (CPA Firm IT Compliance)
What IT services do CPA firms need for compliance?
CPA firms need encrypted data storage, regular system patching, secure portals, tested backups, access controls, and employee security training. They also need documented policies to pass GLBA or SOC2 audits.
What are common IT gaps found in accounting firms?
Common gaps include missing encryption, outdated software, poor or no backups, unsecured file sharing, and no logging of system access. Many firms also lack staff training on phishing and cyber threats.
Can an MSP help us prepare for a GLBA or SOC2 audit?
Yes. A qualified managed IT provider like Uprite will perform a gap assessment, fix missing controls, prepare your audit documentation, and help you pass the audit with confidence.
What does an IT audit for a CPA firm include?
An IT audit covers system patching, firewall rules, user access, encryption, backups, and training records. It identifies gaps in your security and compliance setup and offers a roadmap to fix them.
Stephen Sweeney, CEO of of Uprite.com, with 20+ years of experience brings tech and creativity together to make cybersecurity simple and IT support seamless. He’s on a mission to help businesses stay secure and ahead of the game!