Resource Center



Showing 6 of 45 by:

Relevance Date

Background Screening

Background Screening in the Financial Services Industry

This White Paper provides a comprehensive overview of the background screening and investigation requirements that apply to firms operating in the financial services industry while highlighting some of the potential issues that can arise due to increasing antidiscrimination legislation.

Read More

Background Screening

Preparing Applicants for the Background Check Process

This White Paper provides simple steps that applicants can take to proactively monitor third-party sources of personal information prior to the pre-employment background check.

Read More

Background Screening

Written Consent Requirements Under 18 U.S.C. 1033

This White Paper outlines requirements under the Violent Crime Control and Law Enforcement Act 18 U.S. C. 1033, which prohibits individuals convicted of certain felony crimes from working in the insurance industry without written consent.

Read More

Background Screening

FINRA: New Rule Requirements

This White Paper outlines the requirements of broker-dealerers under new FINRA rule 3110-e to investigate applicants prior to registration through public records searches.

Read More

Background Screening

Alternative Methods for Verifying Employment

This Compliance Issue Analysis outlines some of the issues that can arise when attempting to verify an applicant's previous employment through alternative means such as requesting W2s or pay stubs.

Read More

Background Screening

Continuous Screening

In this CIA, best practices for conducting continuous screening and the results that may be returned are addressed.

Read More

Even our RFP PROCESS is state-of-the-art.

Take a look

What our clients are saying

We cannot express enough how much we have enjoyed working with BIG! It has really benefitted our processing and ease of doing business!

Licensing and Registration Manager
Investment and Insurance Company

I enjoy collaborating with BIG, and know that if I have to reach out with a question/concern, a positive attitude with a willingness to find resolve is on the other side of an email or a phone call.

Human Resources Administrator
Global Financial Services Firm

You have been the most professional and most helpful business partner that I have ever been associated with — always there to assist us and with rapid turnaround times.

Principal Consultant
Major Professional Services Network

I am confident whenever we add a product with your company that I will have a good experience.

Division Manager
Insurance and Financial Services Agency

We have received superior service and we know this is what you and your team strive for. We are grateful for the dedication, level of professionalism and effort shown.

Large Insurance Agency

You are leaving

Ok, Continue Cancel