Financial Industry
Background Check and Investigative Solutions for the Financial Services Industry
Industry tailored business intelligence with a focus on financial compliance, risk mitigation, and fraud prevention. International and domestic business intelligence and investigative services, including: investigative due diligence, private placement, AMLA, KYC, and FINRA background checks.
How We Can Help
Industry tailored business intelligence with a focus on financial compliance, risk mitigation, and fraud prevention. Customizable international and domestic investigative due diligence services to support private placement transactions, AML/KYC compliance, and FINRA background check requirements.
Whether you need assistance with due diligence projects, FINRA background checks, KYC/AML/AIP compliance, or with researching the background of individuals and companies involved with private placement transactions and other business deals, Whelan & Whelan can assist. Our professional investigative solutions can help you identify unforeseen risks to prevent fraud and help you make informed business decisions.
Available Custom Solutions
- FINRA Background Checks
- Investigative Due Diligence
- Online Investigations
- AML Background Checks
- KYC Background Checks
- Private Placement Background Checks
- Continuous Compliance Monitoring
- Employee Background Checks
Ideal For
- Business Compliance
- FINRA Background Check Requirements
- AMLA/PEP/KYC/CIP Policies
- Mergers & Acquisitions
- Private Placement Deals
- Investment Transactions
- Venture Capital Opportunities
- Private Equity Lending
Get Started
Our licensed private investigation team is here and ready to help with any questions you may have. Free Sample Reports available upon request.
What is the difference between a Background Check and Due Diligence?
These two products were designed for different client needs. Our Background Screening services were created primarily for use in pre-employment and post-employment investigations, tenant screening, or any other situation where you would need a focused amount of information about an individual. We offer a variety of pre-designed options (with a number of Investigative Upgrade selections) as well as a customized background package, which allows our clients to request an investigation with only extremely targeted research. On the other hand, our Investigative Due Diligence packages were developed for comprehensive risk assessment and evaluation for use in investments and other business relationships and, as a result, are far more in-depth than a standard background check. This service incorporates a comprehensive review of all available primary and secondary sources of information in order to uncover any potential risks that may impact your deal or business venture.
