Matt Austen

Matt Austen is a senior vice president in the Financial Services Compliance and Regulation practice, based in London.

Matt leverages 18 years of experience specializing in helping clients understand new and evolving regulations, especially where the focus is on consumer outcomes. His experience includes working with clients who have a retail customer base, in particular those in the wealth and investment management sectors. As a former regulator, Matt offers an invaluable perspective to Kroll’s clients who seek to balance commercially sound judgements against regulatory expectations.

Prior to joining Kroll, Matt has worked in a number of industry roles, including second-line compliance (including time as a self-employed consultant) and third-line internal audit, always with a focus on retail conduct. He was a former regulator and co-founder of the Financial Conduct Authorities’ (FCA) “Advice Unit” (established as part of advice market reforms). Additionally, he has worked as a thematic supervisor in both the investment advice and life insurance sectors and as a policy adviser on regulatory initiatives spanning MiFID II, Robo-advice, product governance and P2P lending. Matt has also worked as a freelance consultant, offering compliance solutions to small-medium-sized regulated firms.

Matt holds a master’s degree in international business law (LLM) from the University of Liverpool. He is also a Chartered Fellow of the Chartered Institute for Securities and Investments (CIS), having obtained several compliance- and investment-based qualifications.

Financial Services Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.

Regulatory Advisory and Assurance Services

Within our Regulatory Advisory and Assurance Services, we assist financial services firms in a range of engagements across our suite of subject matter expertise.