12091125 - Level II Training Book

12/5/25

Scope of Screen Screening Subjects

Effective vendor due diligence requires a multi-layered approach that examines all critical aspects of a business relationship. A thorough screening process evaluates not just the corporate entity itself, but the people and systems behind it. Company Corporate structure, financial stability, business history, and regulatory compliance records

Principals Background verification of executives, owners, and key decision-makers

Employees Workforce screening for positions with data access or fiduciary responsibilities

Technologies Security infrastructure, data protection measures, and technical compliance capabilities

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Key Screening Data Points

23 Essential Metrics for Comprehensive Vendor Due Diligence

Derogatory items

Balance to credit ratios

Credit utilization summary

Fraud flags

Management information

Corporate linkage

Monthly, six-month and quarterly

DBT and payment trends

Any legal liens and collections

Judgments

UCC filings

Bankruptcies

Collection filings

Tax liens

Dun & Bradstreet PAYDEX score

OFAC alerts

D&B viability scores

Trade payments

Credit rating

Industry trade payments

Secretary of State Status

Data depth score

EDGAR financials for public companies

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