Financial Probity Checks

Check the financial integrity of your candidates

We can tailor a package for your financial probity and regulatory needs, either independently or as part of a comprehensive employment screening package. Sign up for a free quote.

What is a Financial Probity Check?

A financial probity check investigates the financial background of a candidate to assess whether they meet the regulatory requirements of working in certain industries, e.g. financial services, banking and insurance. These industries involve many compliance regulations that must be met to ensure the highest standards of professionalism and competence in order to protect the general public.

Our financial probity checks investigate the prior financial history and activities of individuals via publicly available financial records and court/legal records. We are also able to check whether your candidate is registered on or has previously been disqualified from the relevant regulator’s register and whether they hold the appropriate licence associated with the position. This comprehensive check verifies whether the candidate is suitable for the role you are hiring for, and is particularly relevant for roles in the financial services industry, e.g. auditors, liquidators, authorised representatives and financial planners.

Working with and having an understanding of the industry bodies in each nation, we provide a range of financial probity and regulatory checks to ensure your ongoing compliance with industry regulations

Identification

Why conduct Financial Probity Checks?

There are many benefits of conducting Financial Probity Checks:

  • Meet your compliance requirements by conducting thorough checks on your candidates to ensure they meet the regulatory requirements of your industry. This will protect you from any penalties or fines that would apply if employees are found to have breached the regulations or are practising without a license.
  • Minimise your company’s financial and people risk by obtaining a comprehensive overview of the prospective candidate.
  • Protect yourself from fraudulent and disreputable candidates or companies by conducting due diligence on all potential candidates.

Ensure the reputation of your business is upheld by hiring candidates that have financial integrity and display professionalism.

Get
Started.

Want to talk background checks or brainstorm about hiring solutions? Need us to just listen? Whatever the reason, we are here to help.

When should Financial Probity Checks be conducted?

Financial probity checks should be conducted:

  • When hiring and recruiting new candidates into relevant industries
  • When promoting an existing employee to an executive or managerial position in relevant industries
  • Ongoing screening to meet your compliance requirements

How does Sterling RISQ conduct Financial Probity Checks?

We conduct our financial probity checks by first discussing your objectives and needs with you, e.g. the regulatory frameworks for your industry, the role and responsibilities attached to the role. We then tailor a package to fit your needs by configuring our financial probity checks to reflect your company’s regulatory requirements, standards, and employment policies.

We conduct our comprehensive financial probity checks via publicly available registers and court/legal records to quickly, accurately and objectively identify any relevant financial or regulatory issues based on your specific objectives and needs. Finally we provide a report to you with a summary of any identified issues, with which you can then make your hiring and recruitment decisions with confidence.

Get in touch with us today to obtain a free quote based on your financial probity needs.

Learn more about how
we uncover risk.

Get
Started.

Want to talk background checks or brainstorm about hiring solutions? Need us to just listen? Whatever the reason, we are here to help.

Contact Our Offices

Email: info@sterlingrisq.com

AUSTRALIA

Suite 902, Level 9
50 Berry St
North Sydney 2060
Australia
Phone: +612 9392 8888

SINGAPORE

101 Thomson Road,
#10-1 United Square
Singapore 307591
Phone: +65 6352 7390

CHINA
Beijing

1508. Bldg.B, Jia Tai International Tower
No.41 East Fourth Ring Middle Rd
Chaoyang District
Beijing, China 100025
Phone: +86 4006 516 177

Shanghai

Room 5-131, 5th Floor, World Trade Tower
No. 500, Guangdong Road
Huangpu District
Shanghai, China 200001
Phone: +86 4006 516 177

MALAYSIA

Suites W307 & W308, 3rd Floor,
West Wing, Wisma Consplant 1,
No. 2, Jalan SS16/4, 47500 Subang Jaya,
Selangor Darul Ehsan
Malaysia
Phone: +603 5630 1125

PHILIPPINES

5/F Science Hub Building, Tower 4
McKinley Hill, Taguig City
Philippines 1634
Phone: +63 (02) 7795 9229

Hong Kong (SAR)

Unit C, 11/F, On Hing Building,
1 On Hing Terrace,
Central, Hong Kong
Phone: +852 2525 2331

Taiyuan

503 Bldg.2, Zhulian Tower
No.129 Changfeng Street
Xiaodian District
Taiyuan, China 030006
Phone: +86 4006 516 177

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