Background Check Compliance

PeopleCheck Background Checking

PeopleCheck are specialists in compliance background checking, assisting our clients in meeting requirements such as those regulated by ASIC, APRA, AML/CTF, ASX and industry-specific obligations.

Let us take the hard yards out of your compliance background checking!

Our service includes:

  • Advice & resources for our clients on how to best meet their compliance requirements
  • Recommendations on background checks/packages to cover compliance
  • Help with implementing processes that support requirements by regulators (eg specific types of police check required, certificates required by regulators)
  • Managing your re-screening program as required by some regulators (ASIC, APRA), totally minimising the administrative burden

Types of compliance requirements we can assist you with include:

ASIC (Australian Securities and Investments Commission):

ASIC’s requirements are outlined in Regulatory Guide 105 – Licensing: Organisation Competence and focus on undertaking a police check and bankruptcy check, as well as equivalent international checks where certain criteria applies.

APRA (Australian Prudential Regulation Authority):

APRA’s requirements are intended to confirm that nominated Responsible Persons are “Fit and Proper” to hold their role by undertaking checks including: police checks, employment & qualification verifications, banned persons checks, bankruptcy checks, directorship checks, work rights validations & international checks where relevant.

AML/CTF (Anti-money Laundering/Counter-Terrorist Financing):

AUSTRAC’s regulation of financial services under the AML/CTF Act includes recommendations for employee and customer due diligence, referred to as Know Your Employee (KYE) and Know Your Customer (KYC) and covers aspects such as verifying identity, employment history, criminal record, bankruptcy and an international watch lists check of global databases and sanctions lists (including PEP – Politically Exposed Persons) that assists with identifying the risks associated with individuals.

ASX (Australian Securities Exchange):

Relevant to listing/listed entities, background checking for compliance with the ASX includes screening directors for their character, experience, education, criminal record and bankruptcy history, as well as identifying any material directorships, with a requirement to run international police checks and international bankruptcy checks where certain criteria applies.

Aged-care:

Under the Aged Care Act 1997, police check guidelines were implemented in 2007 and then strengthened in 2009, requiring individuals with access to the elderly to be screened for criminal records every 3 years, by undertaking a police check with a partial exclusion for offences relating to vulnerable persons.

Find Out More

  • Please fill in the form below and a PeopleCheck team member will contact you to further discuss your background checking needs.
  • Completing this form does not constitute a request for a background check. Our team only undertake background checks with full informed consent from the individual.
 

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