Financial Services
Screen every advisor, analyst, teller, and back-office employee with a process built for the regulatory scrutiny and fiduciary responsibility of financial services hiring.
Independently audited
For compliance & accuracy
PBSA Accredited
Background Screening Association
FCRA Certified Staff
Fair Credit Reporting Act
100% US-Based
Support and Operations
Licensed Private Investigative Agency
State-Licensed & Bonded
Why it matters
Financial services firms operate under some of the most demanding hiring compliance requirements of any industry. FINRA regulations, SEC rules, FDIC Section 19 restrictions, and state licensing mandates all govern who you can hire, what you must check, and how you must document it.
Beyond regulatory requirements, the stakes are simply higher. Your employees handle client assets, access sensitive financial data, execute trades, and in many cases hold positions of fiduciary responsibility. A single undisclosed criminal history, a pattern of financial fraud, or a regulatory bar can expose your firm to client losses, regulatory sanctions, and reputational damage that takes years to repair.
Most background check providers can run a criminal search. Very few understand what financial services compliance actually requires.
Screening Packages
Financial Advisors, Brokers & Registered Representatives
Research Analysts, Traders & Portfolio Managers
Tellers, Operations Staff & Client Services
90%
reports in under 36 hours
99%
support requests resolved in 1 contact
9.5 years
average client tenure
50+
integrations
Why Choose Us
For registered representatives and licensed advisors, we verify FINRA BrokerCheck status and licensing history as part of our standard package, so your compliance team isn't chasing that separately.
Section 19 of the Federal Deposit Insurance Act restricts hiring individuals with certain criminal convictions for FDIC-insured institutions. We help you identify relevant flags early in the process before an offer is extended.
Employment credit checks for financial services roles reveal patterns of financial distress, fraud history, and judgment liens that are directly relevant to roles handling client assets or firm capital.
We verify active status for Series licenses, state insurance licenses, investment advisor registrations, and other credentials so you're not relying on a candidate's self-reported history.
A regulatory action or criminal event after hire creates immediate exposure for a licensed firm. Our workforce monitoring keeps you informed in real time rather than at your next compliance review.
Whether you're an RIA, a regional bank, or a national brokerage, you pay only for the checks you run.
Build a screening program that satisfies regulators, protects clients, and holds up under audit, with a PBSA-accredited partner that understands what financial services compliance actually requires.
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