Background Screening for
Financial Services
FINRA, SEC, and FDIC-compliant background screening for banks, investment firms, and financial services companies — protecting your clients and your license.
Financial Services Screening
Regulatory-aligned screening packages for banks, broker-dealers, investment advisors, and insurance companies.
FINRA BrokerCheck
Automated FINRA BrokerCheck queries for registered representatives — licensing history, disclosures, and regulatory actions.
FDIC Section 19 Compliance
Screening to identify individuals with covered offenses under FDIC Section 19 before employment in FDIC-insured institutions.
Credit History Checks
Financial background checks for roles with fiduciary responsibility — credit history, bankruptcies, and financial judgments.
Criminal Background Checks
Multi-jurisdictional criminal searches with financial services-specific offense filtering and look-back periods.
Regulatory Database Searches
SEC, CFTC, OCC, and state regulatory database searches for enforcement actions, bars, and suspensions.
Employment Verification
Confirm employment history and U4/U5 disclosures with past financial services employers.
Protect your clients and your regulatory standing.
Our financial services compliance team will build a screening program aligned with your regulatory obligations and risk framework.
- FINRA BrokerCheck automation
- FDIC Section 19 compliance workflow
- Regulatory database monitoring
- Credit check permissible purpose documentation
- State-specific financial services rules
- Dedicated financial services compliance team
Ready to protect your clients and your license?
Our financial services compliance team will build a screening program aligned with your regulatory obligations.
Schedule a Consultation