Background Screening Form

PLEASE READ ALL GUIDANCE NOTES DURING COMPLETION

Please note that all mandatory fields are required to enable the form to submit. If you are unable to answer a question, please pop 'N/A' in the box.

There is no 'save' function, so please ensure you have the right amount of time available to complete thoroughly

IMPORTANT NOTE REGARDING REFERENCE CONTACTS

Regulatory References

If you are applying for a regulated position, we will require details of all regulated firms where you have been employed for the last six years.   If the regulated firm were, or are, an Appointed Representative of a network, could you please provide details of the network as we will need to request a reference directly from them.  

If the firm were, or are, directly authorised by the FCA and not part of a network , we will request a reference from the designated person at the firm.  Could you please ensure that you provide the name, address, and current email address of the designated person at the firm who will be able to deal with a regulated reference.

Standard References

Please note that standard reference requests should be submitted to the firm’s HR department.  When you provide details of your previous firm(s) could you please provide the correct HR department address, contact number and also ensure that you check that the HR e-mail address is current and is working.  We will not accept details of ex-line managers as referees for standard reference requests unless the firm is small, and they do not have a dedicated HR department to who we can direct a request.   You are responsible for checking with your previous firm to ensure that the correct HR point of contact is identified and that all contact details and e-mail addresses are correct and up to date, before this form is submitted otherwise this will delay your application.

Employment Agencies

If you were employed by an agency, could you please check that they are able to provide a reference on your behalf and if not, could you please ensure that you obtain the name of the correct point of contact at the firm that the reference should be directed to.

Personal References

If you are providing details of a person who you wish to give a personal reference, could you please ensure that their contact details are up to date and the person in question is aware that a personal reference may be requested.

Authority to release information

When providing reference details, could you please ensure that you indicate clearly whether you are happy for us to approach them now.   If you are happy for us to approach the referee, we will provide you with an authorisation letter for you to sign.  If you do not wish us to approach the referee now, we will not send an authorisation letter to you.  When you are happy for us to approach your referee, please let us know without delay and we will send you an authorisation letter to you to sign.