Expert FCA Vetting. Mitigating Regulatory Risk.
Navigating the complexities of the Senior Managers & Certification Regime (SMCR) and meeting the stringent fitness and propriety requirements of the Financial Conduct Authority (FCA) is critical for financial services firms. Conflict International provides expert SMCR screening and FCA vetting services, designed to ensure your organisation’s compliance and safeguard your reputation. Our meticulous investigations go beyond standard checks, providing the depth of insight needed to make informed hiring decisions for key roles.
To understand the core principles and necessity of SMCR screening and FCA vetting, read our comprehensive guide: What is SMCR Screening?
Our tailored SMCR and FCA vetting services are designed to meet the specific requirements of the regime, ensuring you comply with regulatory obligations for Senior Managers, Certified Functions, and Non-Executive Directors. We conduct in-depth investigations across various critical areas:
We meticulously verify a candidate's identity documents and confirm their legal Right to Work status in the UK and relevant jurisdictions. This foundational step ensures full compliance and prevents identity fraud from the outset, providing a secure basis for all subsequent checks.
Compliance with SMCR mandates a thorough review of a candidate's professional past. We meticulously verify up to a six-year work history, confirming employment dates, roles, responsibilities, and reasons for leaving. This includes obtaining professional references and scrutinising career gaps to ensure accuracy and identify any undisclosed issues.
For roles involving significant financial responsibility, our in-depth financial and credit checks provide critical insight into a candidate's financial integrity and stability. This includes adverse credit checks, bankruptcy record checks, and analysis of any financial judgments or county court judgments (CCJs) where permissible, ensuring fitness and propriety.
We facilitate and interpret criminal record checks relevant to the role and jurisdiction, including DBS checks in the UK, to assess a candidate's suitability and integrity. Our global network allows us to conduct equivalent checks for candidates with international backgrounds, ensuring a comprehensive view of their past.
A crucial component of SMCR vetting involves identifying any past regulatory breaches or disciplinary actions. We conduct extensive checks against relevant regulatory bodies (e.g., FCA Register, other international regulatory databases) to uncover any previous sanctions, enforcements, or professional misconduct.
We conduct thorough searches for past and present directorships, ensuring full disclosure of a candidate's corporate affiliations. This includes reviewing publicly available information, company filings, and other public records to identify potential conflicts of interest or undisclosed business activities.
We rigorously verify all academic qualifications and professional memberships claimed by candidates directly with the issuing institutions or bodies. This ensures the accuracy of credentials and confirms adherence to professional standards required for their role.
Our investigators conduct in-depth adverse media searches and Open Source Intelligence (OSINT) analysis to identify any publicly available information that could pose a reputational risk or indicate unsuitability for a Senior Manager or Certified Function role. This includes scrutinising news articles, forums, social media, and other online sources.
Don't leave your firm's regulatory compliance or reputation to chance. Partner with Conflict International for professional, thorough, and compliant SMCR screening and FCA vetting services.
Contact us today for a confidential consultation or a tailored quote on our expert regulatory background check solutions.
