Compliance Risk and Diligence

Kroll Compliance Risk and Diligence partners with clients to anticipate, detect, and respond to regulatory and reputational risks associated with Ethics and Compliance obligations worldwide. We offer solutions focused on Anti-Bribery & Corruption (ABC) and Anti-Money Laundering (AML) to assist with Know Your Customer, Third-Party Due Diligence, M&A transactions, IPOs and Supply Chain due diligence.

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Explore.Services.Title Compliance Risk and Diligence

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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.

  • 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.

People
Steven Bock
Steven Bock
Managing Director and Global Head of Compliance Risk and Diligence
Compliance Risk and Diligence
Phone
Kevin Braine
Kevin Braine
Managing Director and Global Head of Research and Operations
Compliance Risk and Diligence
London
Phone
Mariellen Davies-DeMarco
Mariellen Davies-DeMarco
Managing Director
Compliance Risk and Diligence
Washington D.C.
Phone

How we can help

Screening and Due Diligence

Comprehensive spectrum of risk-based screening and due diligence solutions.

Compliance Program Consulting

Kroll is trusted by companies worldwide to help establish policies and programs aimed toward preventing fraud and complying with anti-money laundering (AML) and anti-bribery and corruption regulations.

Compliance Portal

Your Process. Our Technology.

Monitorships

Kroll evaluates, oversees and tests organizations for compliance with any number of laws and regulations on a mandatory or voluntary basis.

Regulatory Investigations

Providing clients with the facts and insights they need to respond confidently to regulatory issues.

Supply Chain Investigations

Creating a detailed portrait of a supplier’s financial stability, operations, compliance and culture.

Compliance

Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus

Mar 17, 2022

by Monique MelisMaria EvstropovaKen C. Joseph, Esq.Hannah RossiterAlan KeatingMalin NilssonAaron  Weiss

Compliance Risk

Managing Reputational and Regulatory Risks During Sanctions Uncertainty

Mar 17, 2022

by Kevin BraineMariellen Davies-DeMarcoTom Everett HeathMichael Watt

Client Alert

Key Insights: SEC Fund Rule Proposals

Feb 15, 2022

by Ken C. Joseph, Esq.Chris FranzekDavid Lee

Compliance Risk

Culture as the Basis for Compliance Effectiveness

Nov 11, 2021

by John ArvanitisMichael Watt

News

Risk Officers are Less Confident in the Effectiveness of Anti-Bribery and Corruption (ABC) Programs Compared to the First Half of the Year

Nov 11, 2021

News

World’s Biggest Corporates Hit Hardest by Illicit Activity Despite Bolstering Defenses, Reveals Kroll

Sep 13, 2021

News

Kroll Launches New KYC Tool, Kroll Business Connect, to Enhance the Efficiency of Onboarding and KYC Checks

Aug 10, 2021