Financial Services screening
Background Screening Services for Financial Firms
Financial-services hiring lives at the intersection of FDIC Section 19, FINRA registration, and sanctions screening. SafestHires builds packages that pair criminal background checks with OFAC SDN, consolidated sanctions, and PEP coverage — and we maintain FFIEC-aligned vendor due diligence documentation.
Short answer
What does a financial services background check include?
SSN trace + national criminal locator, County criminal (7+ year) and federal criminal search, OFAC / consolidated sanctions / PEP search, FINRA BrokerCheck verification (where applicable), Education and prior-employment verification. Key regulatory layer: FDIC Section 19 / NCUA Section 205(d); FCRA + state mini-FCRAs.
Why teams in financial services choose SafestHires
- OFAC SDN, EU, UK HMT, and PEP watchlist screening
- FDIC Section 19 / NCUA Section 205(d) review workflow
- FINRA U4-aware data capture and BrokerCheck verification
What's in the standard package
- SSN trace + national criminal locator
- County criminal (7+ year) and federal criminal search
- OFAC / consolidated sanctions / PEP search
- FINRA BrokerCheck verification (where applicable)
- Education and prior-employment verification
Screening considerations for this industry
FDIC Section 19 / NCUA Section 205(d)
Insured institutions are prohibited from employing individuals convicted of certain dishonesty offenses without regulator consent.
FCRA + state mini-FCRAs
Employment screening requires stand-alone disclosure, written authorization, and adverse-action workflows. State laws layer additional timing and notice obligations.
FFIEC Vendor Management
Examiners expect documented due diligence on third-party providers — SafestHires maintains PBSA membership evidence and SOC 2 Type II hosting-infrastructure documentation.
Financial Services screening FAQ
Do you screen for OFAC and other sanctions lists?+
Yes. Standard financial-services packages include OFAC SDN, OFAC consolidated, EU, UK HMT, and PEP lists with fuzzy-match adjudication.
How do you support Section 19 reviews?+
Adjudication tooling flags potential Section 19 / 205(d) offenses and routes them into a documented review workflow with FDIC consent-application support.
Are you a PBSA-accredited consumer reporting agency?+
Yes. SafestHires is a Professional Background Screening Association (PBSA) member and runs on SOC 2 Type II–attested hosting infrastructure.
Related tools & guides
Free resources that pair with financial services hiring.
Disqualifying offenses reference
See how offense categories are reviewed for different roles.
OpenCriminal court outcome translator
Plain-English meanings of court outcomes on a report.
OpenIndividualized assessment worksheet
Document a fair, job-related review before any decision.
OpenLookback period guide
How far back reports can go, by rule and state.
OpenFull pricing calculator
Build an itemized estimate for the searches your roles need.
OpenOther industries we serve
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We'll build a package tuned to your roles and volume.