Background screening checks are required for those candidates working in a financial services environment governed by the Financial Conduct Authority, to ensure that they are a ‘fit and proper’ person to have positions of authority within such organisations.

The FCA expects all authorised firms to look for specific areas of fitness and propriety and their guidance is this;

When considering a candidate’s fitness and propriety (including but not restricted to), we look at:

  • honesty (including openness with self-disclosures, integrity and reputation)

  • competence and capability

  • financial soundness

Our Agenda background screening standards are used to confirm a persons’ reputation and integrity, as well as meeting the requirements of assessment demanded by the FCA. The FCA do not dictate the exact checks that firms should conduct but expect each firm to establish their own criteria, covering the following, as a minimum;

  • regulatory references

  • qualification certificates

  • credit checks

  • criminal records checks

  • directorship checks

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FCA Check: Recommendations

  • Identity Confirmation
  • Criminal Record Check
  • Employment History Checks, including Regulatory References
  • Qualification Check
  • Financial Services Register
  • Credit Check
  • Directorship Check
  • Sanctions and PEP
  • Social Media / Digital Footprint Checks
 

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Available between the hours of 08.00 -1730

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