Financial services employment screening
Mitigate risk by identifying individuals with a history of criminal activity, financial irregularities, or unethical behaviour.
Accredited, regulated & certified
Making compliance an integral part of your risk management
Our screening solutions are fully aligned with FCA requirements, helping you comply with both initial onboarding and ongoing regulatory responsibilities.
Our screening packages are aligned with FCA and SM&CR requirements and AML regulations, supporting your responsibility to hire and retain only competent, honest, and financially sound individuals.
Under the SM&CR regime, firms are required to certify the fitness and propriety of individuals in relevant roles on an annual basis. They must also ensure that checks are conducted in line with the FCA’s Conduct Rules and that individuals are not listed on the Prohibited Persons Register. Additionally, firms must maintain detailed, audit-ready records to demonstrate compliance during regulatory inspections.
Background screening for regulated & unregulated roles in financial services
We provide role-specific screening solutions for a wide range of roles across financial services, including:
- Banks & Building Societies
- Insurance Providers & Underwriters
- Wealth Managers, IFAs & Pension Advisers
- FinTech & Digital Payment Providers
- Mortgage Brokers & Specialist Lenders
- Compliance, Risk, and AML Teams
Why screen staff in financial services roles?
Risk Mitigation
Financial institutions deal with sensitive customer information, handle significant amounts of money, and have access to critical systems. Background screening helps mitigate risk.
Client Interests
Clients trust financial service providers to handle their assets and confidential information. Background screening helps safeguard client interests by ensuring that employees have the necessary qualifications, experience, and integrity to fulfil their responsibilities and maintain confidentiality.
Regulatory compliance
Financial service organisations are subject to various regulatory requirements, such as anti-money laundering (AML) and Know Your Customer (KYC) regulations. Background screening helps ensure compliance with these regulations by verifying the identity, background, and qualifications of individuals working in the sector.
Regulatory reporting obligations
Some financial service organisations are required to report certain employee information to regulatory bodies. Background screening enables the collection of relevant data, such as criminal records or credit history, to fulfil these reporting obligations accurately.
Professional conduct
Healthcare professionals must adhere to and uphold the highest ethical and professional conduct. Thorough and detailed background screening can identify any prior instances of professional misconduct, disciplinary actions or claims arising from malpractice, to ensure and maintain the integrity of each healthcare workforce.
Custom employment screening for financial services roles
Customise your screening package with checks that suit your organisation.
More than a screening provider, we are a trusted partner to thousands of organisations
“You’re not just buying a screening service, you’re partnering with experts who understand screening inside and out.”
We know the risks, regulations, and real-world challenges you face. That’s why we deliver not only compliant employment screening, but also practical support, fast turnaround, and clear communication every step.
- Over 20 years of experience in screening
- Dedicated account handler
- NSA Partners Programme
- No setup, onboarding or platform fees
- Digital Identity as standard
- Fully regulated, professionally certified & nationally accredited
- Specialists in screening for high-risk roles
- Applicant tracking & full screening history
- Audit-ready reports & supporting documentation