Regulatory and Financial Background Checks

Fast accurate and legally compliant Regulatory and Financial Background Checks designed with a simple candidate experience.

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We offer expert advice on the relevant employment screening checks that apply to the finance industry and our screening packages are specifically designed to ensure you are compliant with these standards.

Screening for FCA SMCR roles

The SMCR (Senior Managers and Certification Regime) applies to all firms who are authorised under the Financial Services and Markets Act
The SMCR applies to all UK-incorporated banks, building societies, credit unions and Prudential Regulation Authority-regulated investment banks and insurers.

As of the 9 December 2019, it has been expanded to cover firms that are currently regulated by the FCA. This will affect an estimated 50,000+ asset managers, brokers and consumer companies.
At CV Insight Ltd, we are working with clients to advise how firms can introduce Employment screening to assess whether an individual can be considered ‘fit and proper to perform a role’ in the context of the SMCR.

Please view our guide for further information

Our typical background screening checks for Non-regulatory, certified persons and Senior managers regime roles include:

UK Package – Non-Regulatory Roles

  • identity document validation check
  • credit and address check
  • uk directorship check
  • UK sanctions/anti-money laundering check
  • highest education check
  • professional qualification/membership check
  • 5 years employment (gap analysis 90 days+)
  • international adverse media check
  • basic criminal disclosure

UK FCA Certified Persons (Non Controlled Functions)

  • identity document validation check
  • credit and address check
  • uk directorship check
  • UK sanctions/anti-money laundering check
  • fca register check
  • highest education check
  • professional qualification/membership check
  • 6 years employment (gap analysis 28 days+)
  • international adverse media check
  • basic criminal disclosure

UK FCA & PRA Senior Manager Regime Package

  • identity document validation check
  • credit and address check
  • uk directorship check
  • UK sanctions/anti-money laundering check
  • fca register check
  • fca company check
  • highest education check
  • professional qualification/membership check
  • 6 years employment (gap analysis 28 days+)
  • international adverse media check
  • standard criminal disclosure
Contact us for more information