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Industry Solution

Financial Services

  • Do you need to conduct a Financial Conduct Authority (FCA) check on your staff?

  • Do you want to ensure your compliance within the Financial services sector?


Financial Services Overview

VettingGateway will help you to reduce the risk of a new candidate threat and ensure you remain compliant at all times.

How can we help in Financial Services

The financial services industry is more stringent than most other private sector industries, so conducting a thorough background check is essential. It's crucial that you conduct initial checks on an individual, and that you routinely complete these checks across the lifetime of the employment. This will not only deter an individual with the intent to commit a financial crime but will also ensure you maintain compliance as a business. VettingGateway can manage the entire pre-employment check process, collecting the relevant information from the applicant and conducting and completing the checks in the quickest possible time.

Checks for Financial Services

To conduct a basic background check on your new hire you could consider the following components:

  • 3 year employment history check

  • Digital Right to Work Check

  • Most recent education check or any education in the last 3 years

  • A basic UK DBS (criminal record check)

To conduct a more advanced check and to have further confidence in who you are hiring we recommend the following checks:

  • Financial conduct authority check which looks at the financial services register

  • An adverse financial check to search financial data for CCJ’s, bankruptcies and more

  • An identity check to satisfy yourselves that the person is who they say they are

All of the above checks can be conducted seamlessly and easily from within the VettingGateway platform. Automation is key to this; each check will be requested at the click of a button and the results delivered straight into the platform for you to review.

You can even create your own set of referencing requirements by building a package of the above checks and implementing them as a bespoke referencing standard for your business.

Alternatively, if your business operates with a referencing standard already you can sign up here straight away and start telling VettingGateway your rules and requirements. We recommend that in the absence of a regulated standard you review the roles and responsibilities within your business and contact us to help you decide what could be the best requirements for your team.

FAQs for Financial Services

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