Financial Service Companies work hard everyday to safeguard not only their company’s finances, but those of their clients as well. The industry has been so affected by employment screening regulations, it can be a challenge for HR Professionals. Compliance with government directives require careful attention.
National Research will help our clients reduce risk, limit liability and meet regulatory compliance. We recognize that those in Financial Services have different criteria based on the position being filled, job responsibilities and other special requirements. It’s for clients in this industry that National Research specializes in developing an effective, efficient and compliant background screening solution based on your company’s specific needs.
All National Research background reports for the Financial Services industry are fully compliant with:
- U.S. Patriot Act
- Sarbanes Oxley Requirements
- FFIEC Guidelines
- FDIC Guidelines
National Research offers our Financial Service clients a wide array of background screening services.
- BANKRUPTCY DISTRICT RECORDS SEARCH
- COUNTY CRIMINAL RECORDS SEARCH
- CRIMINAL OFFENDER PROFILE SUMMARY
- FEDERAL CIVIL DISTRICT RECORDS SEARCH
- FEDERAL CRIMINAL DISTRICT COURT SEARCH
- STATE CIVIL RECORDS SEARCH
- STATEWIDE CRIMINAL RECORDS SEARCH
CONSUMER CREDIT REPORT
FEDERAL BANKING REGULATOR SEARCH
- FDIC (Federal Deposit Insurance Corporation)
- FRB (Federal Reserve Board)
- NCUA (National Credit Union Administration)
- OCC (Office of the Comptroller of the Currency)
- OTS (Office of Thrift Supervision)
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
Financial Industry Regulatory Authority (FINRA) formerly (NASD) licenses individuals and admits firms to the industry, writes rules to govern their behavior, examines them for regulatory compliance and will discipline registered representatives and member firms that fail to comply with federal securities laws and FINRA’s rules and regulations.
National Research will search current and former Broker records of approximately 630,000 brokers to verify appropriate licenses are current and checks for any disciplinary action taken against licensee.
HOMELAND SECURITY SEARCH
OFFICE OF FOREIGN ASSET CONTROL (TERRORIST WATCH LIST)
This search includes multiple government party restriction lists including publications from the State, Commerce and Treasury Departments and identifies all “blocked” and “denied” individuals as sanctioned by the U.S. Government through the Office of Foreign Asset Control (OFAC). It includes known terrorists, drug traffickers and parties guilty of trade violations designated under programs that are not country-specific. Collectively, these individuals and companies are called “Specially Designated Nationals and Blocked Persons” or “SDNs.” Their assets are blocked and U. S. persons are generally prohibited from dealing with these individuals, groups and entities.
SOCIAL SECURITY NUMBER TRACE
This trace provides the name, date of birth, social security number, date issued and state, as well as up to the last 3 addresses of subject.
“We will a customize a report to meet your specific requirements“