Description

A focused course, tailored for you

The Brokerage Security Engineer's Detection-as-Code Playbook

Build, ship, and prove the detection coverage that a retail-brokerage SOC and a FINRA examiner both ask for.

A retail-brokerage Security Engineer owns the detections nobody else wants to write. Generic egress rules fire on things that do not matter, while FA credential reuse, order-routing host drift, and CRM-to-personal-cloud exfiltration slip through the inherited MITRE coverage map.

$199 one-time

Tailored to your situation. Access within 24 hours. 30-day money-back.

Includes a hand-built implementation playbook delivered alongside course access, generated for your specific situation.

Why this course

A Security Engineer at a retail-brokerage runs a strange split. Half the queue is alert tuning to stop the SOC drowning in false positives from the generic SIEM content packs that came with the platform. The other half is writing the detections that the SOC actually needs, the ones specific to a brokerage estate. Financial Advisor workstations that move between branch offices. An order-routing tier where a single rogue process can move millions in client trades. A CRM that holds customer PII the SEC Reg S-P safeguards rule treats as crown jewels. A trade-surveillance team that escalates anomalies upward, expecting the security side to have a detection that fires before the loss. The frustrating part is that the platform vendors and the threat-intel feeds publish content tuned for a generic enterprise. Almost none of it maps cleanly to the order-routing tier, the FA workstation, or the customer data store. The engineer who owns coverage has to write the brokerage-specific detections in code, version them, test them, document them, and produce the evidence that an examiner under FINRA Rule 4370 or an internal auditor under SEC Reg S-P can sign off on. There is no inherited library for this work. The market sells generic SOC content and generic compliance posters. Neither helps.

What you walk away with

Ship a detection-as-code repository structured around the brokerage estate: FA workstation, order-routing tier, CRM, customer data store, market-data feeds.
Hold a MITRE ATT&CK coverage map that names which detection covers which technique on which asset class, and produces the gap list automatically.
Translate Sigma rules to Splunk SPL and Sentinel KQL with a deduplication pattern that survives a platform migration.
Produce the audit pack a FINRA examiner or SEC Reg S-P reviewer asks for: rule logic, test cases, suppression history, exception approvals, control-owner sign-off.
Build the playbook that closes the four most common brokerage detection gaps: FA credential reuse, order-routing host drift, CRM-to-personal-cloud exfiltration, market-data scraping from inside the network.

The 12 modules

Module 1. The brokerage detection estate, mapped

Inventory the asset classes a retail-brokerage Security Engineer is on the hook for: Financial Advisor workstations, the order-routing tier, customer data stores, CRM, market-data feeds, branch network, cloud control planes. For each, name the data sources that feed the SIEM and the gaps in those data sources. Output is a one-page estate map keyed to the detection backlog.

Module 2. Detection-as-code repository structure

Lay out a Git repository for brokerage detections. Folder structure keyed to asset class, naming convention that survives a platform migration, branching model that lets the IR analyst test a rule in staging before promotion, pull-request template that captures threat hypothesis, test cases, and expected fidelity. Includes the YAML schema the team will use for every rule.

Module 3. Writing Sigma the right way for a brokerage estate

Author Sigma rules tuned to the brokerage data sources. Covers the rule head, the logsource keyed to FA workstation EDR or order-routing host logs or CRM API audit logs, the detection block with the patterns that matter on a brokerage estate, the false-positive section the IR analyst will read, and the level field aligned to the SOC's response tiers. Five worked examples, each tied to a real brokerage scenario.

Module 4. Translating Sigma to Splunk SPL

Translate the five Sigma rules into Splunk SPL keyed to the brokerage's actual indexes and source types. Covers the lookup tables that hold the FA workstation inventory, the order-routing host list, and the CRM service accounts. Includes the deduplication patterns that stop the SOC drowning, the macros that make rules portable, and the saved-search scheduling that does not melt the search head.

Module 5. Translating Sigma to Sentinel KQL

Translate the same five Sigma rules to Sentinel KQL. Covers the watchlist pattern for FA workstation inventory and order-routing host list, the analytic rule template, the entity mapping that drives the investigation graph, and the automation rule that fires the SOAR playbook. Shows the migration path if the brokerage moves from one SIEM to the other without losing detection fidelity.

Module 6. FA credential reuse detection

Build the detection that catches a Financial Advisor reusing branch credentials on a workstation that does not belong to them, or on a workstation that has been moved between branches. Covers the authentication log fields that signal reuse, the workstation-to-FA binding lookup, the false-positive shape (a branch manager visiting a satellite office), and the alert payload that lets the IR analyst contact the correct branch supervisor within minutes.

Module 7. Order-routing host drift detection

Build the detection that fires when an order-routing host runs a process it has never run before, opens a network connection to a destination it has never connected to, or shows a configuration change outside the change window. Covers the baseline, the comparison logic, the suppression rules during sanctioned change events, and the alert routing to both the SOC and the trading systems operations team.

Module 8. CRM-to-personal-cloud exfiltration detection

Build the detection that catches a Financial Advisor pulling a list of customer records out of the CRM and uploading it to a personal cloud drive, a personal email, or a USB device. Covers the CRM API audit log fields, the DLP signal, the CASB signal, the correlation pattern across the three, and the SEC Reg S-P safeguards rule evidence the detection produces when the examiner asks.

Module 9. Market-data scraping detection

Build the detection that catches an internal host pulling market-data feeds out to a third-party scraping service. Covers the TLS metadata fields, the DNS query pattern, the destination resolution, the FA workstation and order-routing host baselines, and the alert payload that distinguishes a sanctioned data partner from an unsanctioned scrape.

Module 10. MITRE ATT&CK coverage map for a brokerage estate

Build a coverage map that lists every detection in the repository, the MITRE technique it covers, the asset class it covers, and the data source it depends on. Auto-generated from the rule metadata. Outputs the gap list the engineer takes to the security architect, and the heat map the CISO shows the board. Includes the brokerage-specific techniques (order-routing tampering, FA credential reuse) that MITRE does not enumerate cleanly.

Module 11. Audit pack for FINRA Rule 4370 and SEC Reg S-P

Assemble the audit pack a FINRA examiner or SEC Reg S-P reviewer asks for when they want to see how a detection control was tested. Covers the rule logic export, the test case results, the suppression history, the exception approval workflow, the control-owner sign-off, and the evidence that the rule was tuned within the last quarter. One-page summary plus appendix structure that the compliance team can lift wholesale.

Module 12. The detection backlog ritual

Run the detection backlog the way a brokerage Security Engineer needs to. Covers the intake from post-incident reviews, trade-surveillance escalations, threat-intel feeds, and red-team findings. The triage criteria that decide what gets written, what gets bought as content, and what gets deferred. The ritual cadence with the SOC manager and the security architect. The metric the CISO reports out, and the metric the engineer actually uses to know the backlog is shrinking.

How this addresses your situation

Specific modules that map to what you said you are dealing with.

An IR analyst kicks an FA workstation TLS alert to you and the generic egress rule is the only thing that fired. Module 9 builds the brokerage-tuned detection that should have fired instead.

The CISO asks for the MITRE ATT&CK coverage heat map for the board pack. Module 10 generates it from the rule repository metadata, not from a hand-built spreadsheet that goes stale within a week.

A FINRA examiner asks how a detection control was tested over the last quarter. Module 11 has the audit pack already assembled, with rule logic, test cases, suppression history, and control-owner sign-off in one place.

The SOC is migrating from Sentinel to Splunk, or the reverse. Modules 4 and 5 hold the Sigma source of truth and the translation pattern, so the migration does not lose a single detection.

What you get with this course

12 written modules covering the detection-as-code workflow end to end for a retail-brokerage estate.
Downloadable Sigma, Splunk SPL, and Sentinel KQL templates for the four anchor detections (FA credential reuse, order-routing host drift, CRM-to-personal-cloud exfiltration, market-data scraping).
A MITRE ATT&CK coverage-map generator that reads the rule repository metadata and produces both the gap list and the board-ready heat map.
The FINRA Rule 4370 and SEC Reg S-P audit pack template, plus a worked example for one detection.
A hand-built implementation playbook keyed to the buyer's current rule set, naming the next four detections to write and the order to write them in.

What you will have in hand by Day 1, Week 1, Month 1

Within 24 hours: course access provisioned in the Art of Service learning environment, plus the hand-built implementation playbook keyed to the buyer's current rule set.

Modules 1 to 3 in week one: estate map, repository structure, Sigma authoring discipline.

Modules 4 to 9 in weeks two and three: platform translation and the four anchor brokerage detections.

Modules 10 to 12 in week four: MITRE coverage map, audit pack, detection backlog ritual.

Before and after

Before

The detection backlog grows faster than it shrinks. Generic SIEM content fires on the wrong things. Brokerage-specific risks have no coverage. The MITRE map is a stale spreadsheet. The examiner walkthrough relies on the engineer remembering what was tested when. Migration between SIEMs is a six-month detection-rewrite project.

After

The repository is the source of truth. Detections are written in Sigma, translated to whichever platform the SOC runs, tested in staging, promoted on merge. The MITRE coverage map regenerates itself. The audit pack assembles from rule metadata. The four anchor brokerage detections fire on the right things. The backlog ritual runs every fortnight and the gap list shrinks every cycle.

What happens if you do not address this

The next post-incident review will surface the detection that should have fired and did not. The next FINRA Rule 4370 walkthrough will ask for the test evidence and the engineer will be assembling it the night before. The next platform migration will lose half the brokerage-specific tuning that took two years to build. None of these are hypothetical; they are the ones that happen on retail-brokerage estates this quarter.

Who it is for

Security Engineer at a retail brokerage who owns the detection engineering side of the SOC. Sits between the IR analysts (who triage the alerts) and the security architects (who design the controls). Day-to-day work is writing Sigma rules, Splunk SPL, Sentinel KQL, or whatever the platform of record is, plus tuning the alerts that fire too often and authoring the ones that should fire and currently do not. Accountable for MITRE ATT&CK coverage on the brokerage estate, evidence that controls under SEC Reg S-P and FINRA Rule 4370 are tested, and the detection backlog that comes out of every post-incident review and trade-surveillance escalation.

Who this is NOT for. Not for SOC managers who own staffing and coverage strategy without writing rules. Not for security architects designing the next platform migration without touching content. Not for IR analysts who triage alerts but do not author detections. Not for compliance officers writing the policy that the engineer's detections enforce.

How it arrives

Text-based course in the Art of Service learning environment, plus downloadable Sigma, Splunk SPL, and Sentinel KQL templates and worked examples for every module, plus the hand-built implementation playbook delivered alongside course access.

Time investment. Roughly five to seven hours per module if the buyer wants to ship the worked detections into their own repository. Closer to two hours per module if the buyer reads only, without coding. Twelve modules, designed to fit a four-week sprint or a slower fortnightly cadence.

Why $199 is the right number

The alternatives a retail-brokerage Security Engineer reaches for today: vendor content packs (generic, not brokerage-tuned, no audit pack), threat-intel feeds (technique-level, not asset-specific), a SANS course (excellent training, no repository, no Reg S-P audit pack), an internal write-up of last quarter's incidents (a list of gaps, not a method to close them). This course is the missing piece, a brokerage-specific detection-as-code method plus the audit evidence shape that closes the FINRA and SEC sign-off loop.

FAQ

Do I need to be on Splunk or Sentinel to use this?

No. The course is Sigma-first, with translation patterns to both Splunk SPL and Sentinel KQL. The repository structure and audit pack are platform-agnostic.

My SOC already uses a content vendor. Does this replace that?

No, it complements it. The course teaches the brokerage-specific detections that no vendor will write for you, and the audit pack the examiner asks for regardless of where the content came from.

How does the implementation playbook work?

After purchase you send a short brief on the current rule set and the four detections that matter most to the SOC. The playbook comes back hand-built, naming the next four detections to write and the order to write them in, keyed to your platform of record.

Is this for an IR analyst or a security architect?

Neither. It is for the engineer in the middle who actually writes the rules. IR analysts will recognise the alert payloads; architects will recognise the coverage map. The work happens in the engineer's repository.

What does the audit pack actually contain?

For each detection: the rule logic export, the threat hypothesis, the test cases and results, the suppression history with reasons, the exception approvals, the control-owner sign-off, and the date of last tuning. Structured so FINRA Rule 4370 and SEC Reg S-P reviewers can read it without follow-up questions.

30-day money-back guarantee. If after a week of working through the materials this is not what you needed, reply to the receipt email and a full refund is processed. No questions, no forms.

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.