Compliance Risk and Diligence

Kroll is the market leading provider of solutions that help clients comply with the myriad of anti-money laundering (AML) and anti-bribery and corruption (AB&C) regulations worldwide.

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Complying with anti-money laundering and anti-bribery and corruption regulations.

Through a combination of in-depth subject matter expertise, global research capabilities, and flexible technology tools Kroll can help clients:

  • Design, set-up, and implement compliance programs and policies, taking into consideration the complex and unique laws across the world
  • Establish an overarching compliance strategy and culture, including firm-wide training programs
  • Manage third party risks leveraging Kroll’s Third Party Compliance portal, a web-based due diligence, governance and compliance platform 
  • Take a risk-based approach to compliance through a broad range of Screening and Monitoring Services and Enhanced Due Diligence capabilities
  • Respond to potential risks through Kroll’s investigative, remediation, and look-back solutions

Anti-Money Laundering (AML)

Many of the world’s top financial institutions call on Kroll to help them comply with key legislation like the USA Patriot Act and the Bank Secrecy Act (BSA). Adherence to these and other global regulations requires a risk-based approach to establishing and carrying out AML and Know Your Customer (KYC) programs, including customer identification programs and enhanced due diligence. Kroll provides tailored solutions commensurate with the level of risk involved, including: establishing policies, procedures and controls that are designed to detect and report instances of money laundering; client onboarding, screening and risk scoring; and enhanced due diligence on higher risk accounts.

Anti-Bribery and Corruption

Between the Foreign Corruption Practices Act (FCPA), the UK Bribery Act (UKBA) and newer country-specific legislation, the global regulatory environment has grown increasingly complicated. Exposure to corruption-related risks continues to be one of the top business issues for compliance and in-house legal professionals as well as C-level stakeholders. Kroll can equip clients with the tools necessary to mitigate and remediate these regulatory compliance concerns.

Kroll’s solutions include anti-bribery and corruption program design and implementation, the use of Kroll’s proprietary 3rd Party Compliance Portal to assess and manage the risk of third parties and internal controls, ongoing screening, monitoring, and enhanced due diligence of third parties, and the ability to respond quickly to any bribery or corruption risk that may arise worldwide.

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Compliance Risk and Diligence Services

Compliance Program Consulting

Establishing policies and programs to prevent fraud and comply with regulations globally.

Compliance Program Consulting

Monitorships

Monitorships for organizations facing legal and regulatory compliance issues.

Monitorships

Regulatory Investigations

Unmatched investigative capabilities, global presence, and time-tested independence and integrity.

Regulatory Investigations

Supply Chain Due Diligence

Offering overt and discreet investigations to uncover hidden compliance and reputational issues.

Supply Chain Due Diligence

Insights

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