Screening, Fingerprinting and Monitoring Solutions for Financial and Business Services

Protect your clients, capital, and reputation while managing complex regulatory compliance requirements.

Enhancing the entire financial experience.

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Continuous Workforce Monitoring

Reduce risk and limit exposure to loss by regularly screening employees to quickly identify changes in employee status, including personal financial irregularities, sanctions, and criminal activity.

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The Global Screening Imperative

With most Financial Services firms operating internationally, and nearly all hiring applicants who have lived or worked overseas, the need for a global screening program has never been greater.

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Liens, Judgments, Bankruptcies

Ensure your employees can handle sensitive information and perform critical tasks, like maintain compliance and facilitate FINRA U4 submissions, to deliver on your brand promise.

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The Sterling Advantage

Full spectrum coverage

We help the world’s top banks, broker-dealers, asset managers, private equity firms, insurance companies and other financial services firms efficiently screen, fingerprint and monitor top talent. Our full suite of services integrates with most major ATS and HRIS platforms.

Global reach

Manage your global hiring needs with a localized candidate experience, adherence to regional regulatory compliance standards, and multi-language support. We help you identify restrictions, sanctions, and exclusions maintained by U.S. and international legal and regulatory enforcement organizations.

Ongoing criminal and financial disclosure monitoring

For FINRA regulated firms, relying on your employees or registered reps to self-disclose criminal and financial events for updating Form U4 can potentially open your firm and your clients to risk. Our disclosure monitoring program sends proactive alerts on criminal and financial events to protect your firm from fines and damage to your reputation.

Seamlessly Integrated Fingerprinting

Capture and submit fingerprints to the FBI, FINRA, or NMLS as part of your background screening process. Experience faster turnaround with no appointments needed and flexible evening and weekend availability through a national network of more than 800 state-of-the-art electronic fingerprinting collection stations.

Executive Investigations

Sterling Diligence, a division of Sterling, conducts comprehensive, pre-employment investigations revealing a 360 degree picture of your candidate’s background and credentials. No matter the industry, we uncover information about senior level, high-impact hires giving you the confidence to extend an offer.

FCRA Quarterly Webinar

In this series of quarterly updates, compliance expert, Joe Rotondo, discusses recent and upcoming changes in state and federal legislation as it relates to the Fair Credit Reporting Act (FCRA). He also shares recent case studies, highlighting what you should watch out for to remain compliant.

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Return to the Workplace: COVID-19 Health Testing
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Beyond COVID-19: The Future of Background Screening & Identity Verification
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Navigating Background and COVID-19 Health Screening Challenges in Today’s Retail World
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