Due to heightened security needs and complex financial regulations, financial institutions must understand the identity and background of their employees to ensure the integrity of customers’ confidential information and financial resources.
Why do so many institutions trust CSI?
Maintaining integrity is vital for Financial Service employers. This starts with proper screening with the necessary attention to detail, in particular in positions of trust or where fiduciary relationships exist. CSI understands the complexity of applicable regulations and applies the appropriate search methodologies that are critical in helping financial service companies screen smart while reducing the risks associated with hiring employees, contractors and vendors.
CSI's Financial Services programs are designed to address regulated and non-regulated positions:
- Employment Screening
- Certified Financial Planner Board Search
- Financial Industry Regulatory Authority (FINRA) BrokerCheck
- Federal Deposit Insurance Act
- Financial Institutions Reform, Recovery and Enforcement Act (FIRREA)
- Securities and Exchange Commission (SEC) Restriction List
- Federal Deposit Insurance Corporation (FDIC)
- Office of Foreign Asset Control (OFAC)
- General Services Administration (GSA)
- Excluded Parties List
- Social Media Screening
- Ongoing Monitoring
- Contractors and Vendors
- Due Diligence
Want to learn more?
Get in touch with our financial services experts.