TGC³ Advisory | Identity Governance Consulting

Why Financial Services Organizations Choose TGC³ Advisory:

Identity-First AI Governance Framework

TGC³ Advisory reframes AI governance as an identity and access management challenge—not a model inventory problem. By treating AI risk through the lens of user access controls, role-based permissions, and privileged access boundaries, we leverage governance frameworks your auditors, examiners, and boards already trust.

‍What this means for your organization: AI governance systems that integrate with existing IAM controls, satisfy regulatory expectations from OCC and FFIEC examiners, and pass SOX 404(b) logical access testing without creating parallel governance structures.

Exam-Ready by Design

Every RBAC model, privileged access control, and evidence artifact that TGC³ Advisory designs is built to withstand regulatory examination from the first day of implementation. We don't retrofit compliance after systems are built—we architect defensible governance mechanisms that OCC examiners understand, FFIEC assessments validate, and internal auditors can test repeatedly.

‍What this means for your organization: When examination season arrives, you present systematic evidence packages that demonstrate control effectiveness—not policy binders that examiners challenge or audit findings that require remediation.

Mechanism Design Over Governance Theather

Governance failures in financial services happen when organizations confuse policy documentation with operational control. TGC³ Advisory builds systematic mechanisms—automated identity lifecycle processes, role-based access models, privileged access governance boundaries, and continuous evidence generation loops.

‍What this means for your organization: Control systems that execute whether anyone is watching, generate defensible evidence automatically, and demonstrate maturity to boards and audit committees through scorecards and heatmaps—not meetings without outcomes.

The Governance Spine: A Systematic Framework for Financial Services

TGC³ Advisory's Governance Spine is a five-stage framework for building defensible, exam-ready governance systems that scale from board-level risk appetite through operational evidence generation.

What is the Governance Spine?

The Governance Spine is TGC³ Advisory's proprietary methodology for designing identity governance, privileged access management, and AI governance frameworks in financial services organizations. Unlike traditional governance approaches that focus on policy creation, the Governance Spine emphasizes systematic mechanism design—ensuring that governance controls execute consistently and generate defensible evidence for auditors, examiners, and boards.

Brands we worked with

Stage 1 - Risk Appetite Definition

Board-level risk appetite statements that define acceptable boundaries for identity risk, privileged access risk, and AI governance risk. TGC³ Advisory helps financial services organizations translate qualitative risk statements into quantifiable control objectives that auditors can validate and examiners can test.

‍Key Outputs: Risk appetite statement, risk tolerance thresholds, escalation criteria

Stage 2 - Governance Strategy Design

Strategic governance frameworks that translate risk appetite into operational mandates across people, processes, and technology. TGC³ Advisory designs governance strategies that specify ownership models, decision rights, committee structures, and control architectures for identity lifecycle management, RBAC administration, and privileged access governance.

‍Key Outputs: Governance charter, committee structure, ownership model, decision framework

Stage 3 - Control Mechanism Implementation

Systematic controls that execute governance strategy at operational scale. TGC³ Advisory implements RBAC models with clear role definitions, privileged access management frameworks with approval workflows, identity lifecycle automation for joiner/mover/leaver processes, and access certification programs that run continuously.

‍Key Outputs: RBAC model, PAM framework, lifecycle automation, certification procedures

Stage 4 - Evidence Loop Automation

Continuous, automated evidence capture systems that prove control effectiveness to auditors, examiners, and boards without manual documentation. TGC³ Advisory designs evidence loops that generate audit trails automatically, capture approval chains in real-time, and produce examination-ready packages from operational data.

‍Key Outputs: Automated logging, evidence repositories, audit trail generation, examination packages

Stage 5 - Governance Reporting Systems

Executive dashboards, governance heatmaps, and board-ready narratives that communicate governance maturity to stakeholders. TGC³ Advisory builds reporting systems that surface control effectiveness metrics, highlight risk areas through visual heatmaps, and translate technical governance details into executive summaries.

‍Key Outputs: Executive dashboards, maturity heatmaps, board presentations, quarterly reports

Learn How to Apply the Governance Spine Framework

FAQ

Frequently Asked Questions About Identity Governance Consulting

What is identity governance consulting?

Identity governance consulting helps financial services organizations design, implement, and mature systematic controls for managing user identities, access permissions, and privileged account governance. TGC³ Advisory specializes in building exam-ready identity governance frameworks that satisfy OCC examination requirements, FFIEC assessment criteria, and SOX 404(b) logical access controls for banks and credit unions.

What is exam-ready governance?

Exam-ready governance means that control systems, evidence packages, and governance documentation are designed from the start to withstand regulatory scrutiny from OCC examiners, FFIEC assessments, and SOX 404(b) audits. TGC³ Advisory builds governance mechanisms that generate defensible evidence continuously—eliminating last-minute documentation scrambles before examinations.

What is RBAC consulting?

RBAC consulting (Role-Based Access Control consulting) involves designing role taxonomies, defining role assignment rules, implementing approval workflows, and establishing recertification procedures for financial services organizations. TGC³ Advisory's RBAC consulting helps banks and credit unions move from individual access permissions to systematic role-based models that auditors can test and validate.

How does TGC³ Advisory differ from other consulting firms?

TGC³ Advisory delivers with deep specialization in identity governance, privileged access management, and exam-ready control systems for financial services. While other firms provide broad advisory services, TGC³ Advisory focuses on identity governance maturity, RBAC implementation, PAM frameworks, and AI governance for regulated institutions.

What is the difference between identity governance and IAM implementation?

Identity governance focuses on policies, controls, and oversight mechanisms that ensure proper access management—answering "who should have access to what" and "how do we prove controls work." IAM implementation focuses on configuring technology platforms. TGC³ Advisory specializes in governance frameworks that define what IAM systems should enforce and how to generate evidence that governance controls operate effectively.

How long does a governance assessment take?

TGC³ Advisory's governance assessments typically require 2-4 weeks for financial services organizations, including stakeholder interviews, documentation reviews, system analysis, and evidence evaluation across the 9 Logical Access Domains. The assessment deliverable includes executive summaries, detailed findings, prioritized remediation roadmaps, and exam-ready narrative frameworks.

Identity Governance Consulting for Financial Services Leaders

Financial Services Leaders Facing Regulatory Examination

TGC³ Advisory works with Chief Information Security Officers (CISOs), Chief Risk Officers (CROs), and Chief Information Officers (CIOs) at banks, credit unions, and newly chartered financial institutions facing OCC examinations, FFIEC assessments, and SOX 404(b) audits.

Common challenges TGC³ Advisory solves:

‍Recurring ITGC/ICFR logical access findings from external auditors
Identity lifecycle gaps (joiner/mover/leaver deficiencies) flagged during examinations
Privileged access governance deficiencies identified in OCC reviews
Manual evidence generation processes that fail under examination pressure
Fragmented governance with unclear ownership across IAM, security, and risk teams

‍What TGC³ Advisory delivers: Systematic remediation programs that close audit findings, RBAC models that satisfy examiner scrutiny, privileged access frameworks that demonstrate effective oversight, and evidence automation systems that eliminate pre-examination scrambles.

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Effective Governance translates policy into proof.