Financial Services Background Checks

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Regulatory Compliance is Key

Background checks for employees and applicants in any industry are important in understanding if the person is the right fit for the position available. These checks must adhere to various federal, state, and local laws. But for those who work in the financial industry, there are additional rules and regulations. In fact, background checks for those in the financial services industry are overseen by several governmental agencies, such as the Federal Deposit Insurance Corporation, each of whom have their own rules and regulations for both employers and employees.

Financial institutions are faced with increasing pressure, heightened security measures, and “know your customer” legislation. Compliance with these strict regulations is required or institutions may face severe sanctions. Employees working in the insurance, banking, or other financial services industries help their clients with their financial futures. And with the level of confidential information shared, they are understandably held to even higher levels of scrutiny to reduce exposure to money laundering, embezzlement, accounting fraud, terrorist activities, identity theft, and more.

Financial institutions must protect not only their employees and clients, but also the sensitive data with which they have been entrusted. Hire Image works with financial institutions to create the best program, focusing on criminal background checks, credit checks, credit history, drug testing, watch lists, and other searches to help combat the various threats particular to the industry. Our recommended background screening services for the financial industry include:

Financial Professional Search

  • Address and Social Security Number Trace
  • Bankruptcy Search
  • Credit Report
  • County and/or Statewide  Criminal Searches
  • County and Federal Civil Searches
  • Education, Employment & Professional License Verifications
    – Verification of the highest degree (or diploma) attained by the applicant.
    – Verification of the last 10 years employment history.
  • Federal Criminal Search
  • Financial Industry Regulatory Authority (FINRA) Search
  • Liens and Judgments
  • Nationwide Criminal Database & Sex Offender Registry Search

Additional Suggested Items:

  • Continuous Criminal Monitoring
  • Drug Screening
  • Due Diligence Investigations to identify risks in potential business relationships
  • FINRA Compliance Search/Monitoring packages available to verify accuracy of Form U4 information
  • Motor Vehicle Records
  • News & Publications Search 
  • Social Media
  • Verification of Professional License
  • Verification of Professional Associations & Memberships

What Some of Our Customers Are Saying:

“The personal service offered by Hire Image is impressive. In our industry, it’s important to do a very thorough background check for every employee- from entry level through executive level. I like the flexibility Hire Image allows me in choosing the level of screening. Compliance is also important. I want a reputable company that gets info quickly to me, and I have that in Hire Image.”

“After doing an exhaustive search for a new background screening firm, Hire Image came highly recommended and provided everything we were looking for. Their staff is very accessible and responsive, often with same-day turnaround for questions answered. I appreciate their personal touch in all dealings and their in-depth expertise within the financial industry.”

“We use Hire Image for background checks, criminal history and Patriot Act Searches, and employment verification services for all our bank hires from entry level to senior management. Previously, we used a large national company and it was frustrating not to reach a human being or to get a call back. The ability to pick up the phone and talk with Hire Image staffer is refreshing and most helpful whenever we have questions. We appreciate the frequent updates about new regulations that affect our industry and our work. I highly recommend Hire Image for their personal connection with customers, prompt and thorough service and fair pricing structure. I consider them a valued partner in our recruitment initiatives.”

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