Compliance and Regulation

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

Explore Compliance and Regulation

Solutions

Discover how Kroll built a dedicated client service team for a large banking institution, provided a customized due diligence solution, and saved 70% on their costs over a three-year period. Request our qualifications.

Kroll partners with clients to stay ahead of regulatory and reputational risks associated with ethics and compliance obligations around the world. We deploy a market-leading portfolio of enhanced due diligence services and technology solutions, with a focus on anti-bribery and corruption (AB&C) and anti-money laundering (AML), to assist clients with Know Your Customer (KYC) initiatives, third-party due diligence, M&A transactions, IPOs and supply chain due diligence.

Our teams draw on open-source resources and global human intelligence to perform enhanced due diligence, producing reports and action items tailored to each client's needs.

Our solutions help clients:

Manage Third-party Risk

We research reputations; environmental, social and governance (ESG); and cyber and financial records related to existing and potential relationships, including joint ventures, customers and partners, against sanctions, government watch lists, social media and other applicable databases.

Meet Global Regulatory and Legal Requirements

We help ensure compliance with Anti-Money Laundering (AML), Know Your Customer (KYC), USA Patriot Act, Foreign Corrupt Practices Act (FCPA), and UK Bribery Act regulations.

Mitigate Risks, Fines and Reputational Damage

We help identify and mitigate third-party and transactional, business and reputational risks before they develop into larger issues or trigger fines.

Become or Stay Compliant

We help clients understand the practical frameworks, policies and procedures, systems and controls, and technologies they need to stay compliant with current and evolving regulations.

Increase Peace of Mind

Our researchers manage cases from start to finish, conducting extensive internet, database and media research into a company and its principals to assess backgrounds, status, credentials, professional certifications, legitimacy and reputation.

Respond to Regulatory Reviews and Investigations

We help clients prepare for and respond to regulatory reviews and investigations. We also can undertake reviews at the appointment of regulatory authorities.

Recent Industry Recognition

Private Equity Wire US Awards

Kroll Wins Best Regulatory and Compliance Firm of the Year (2022, 2023)

PE Wire European Awards 2023 - Best Regulatory & Compliance Firm

Private Equity Wire European Awards 2023

Kroll Wins Best Regulatory and Compliance Firm of the Year

2023 Fraud and Financial Crime Report

Kroll analyzed global data from 400 senior leaders across three continents to gain insights into the current financial crime landscape and learn how technology might stop the threat of economic, crypto and ESG crimes.

Key findings from the report include:

Sixty-nine percent of global respondents expect financial crime risks to increase over the next 12 months.
Almost two-thirds of global respondents expect financial crimes enforcement actions to increase.
More than half of respondents cite evolving technologies, digital currencies, data privacy and geopolitical tension as challenges posed to government in fighting financial crime.
Global respondents report that cybersecurity and data breaches are the factors most responsible for increased financial crime risk.

Download the Report

Related Team

Connect with Us

Monique Melis

Managing Director and Global Head of Financial Services Compliance and Regulation

London

+44 (0)20 7089 0820

Monique Melis

Ken C. Joseph, Esq.

Ken C. Joseph, Esq.

Managing Director

Financial Services Compliance and Regulation

New York

+1 646 867 7864

Ken Joseph

Nicolas Inman

Managing Director

Financial Services Compliance and Regulation

London

+44 (0)20 7089 0939

Angela Applegeet

Managing Director and Chief Operating Officer, Compliance Risk and Diligence

Nashville

+1 6155776703

Angela Applegeet

Steven Bock

Managing Director and Global Head of Compliance Risk and Diligence

New York

+1 212 833 3211

Steven Bock

Kevin Braine

Managing Director and Global Head of Compliance Risk and Diligence

London

+44 20 7029 5151

Kevin Braine

Howie Epstein

Managing Director

Compliance Risk and Diligence

New York

+1 212 523 0308

Howie Epstein

Tom Everett Heath

Global Head of Forensic Investigations and Intelligence

London

+44 207 029 5067

Tom Everett Heath

Timothy V. Horner

Senior Managing Director

Enterprise Security Risk Management

New York

+1 212 833 3366

Timothy Horner

David Liu

Regional Managing Director, Asia-Pacific

Environmental, Social and Governance Advisory Services (ESG)

Hong Kong

+852 2884 7707

Ned Kulakowski

Associate Managing Director

Compliance Risk and Diligence

New York

+1 2122025884

Explore areas we can helpStay Ahead with Kroll

Anti-Money Laundering

Kroll’s anti-money laundering (AML) solutions are designed to help minimize the risks associated with money laundering and other illicit activities and to ensure compliance through the development and management of ongoing compliance programs and processes.

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.

Compliance Risk and Diligence

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

Monitorships

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

Enterprise Security Risk Management

Kroll’s Enterprise Security Risk Management practice provides expert guidance and advisory services to our global clientele as they navigate the most challenging and emerging security and threat-related issues.

Cryptocurrency Compliance, Risk and Investigation Services

Kroll is the leading global provider of crypto compliance, risk, and investigative services. Since the introduction of the first virtual asset in 2009, Kroll has worked side-by-side with crypto companies, investors, and law enforcement to help them meet their most critical challenges.

Managed Compliance Software

Kroll’s Managed Compliance Software is cost-effective and efficient technology that embeds Kroll’s global knowledge into financial services firms’ compliance programs, guiding you through all stages of the regulatory life cycle.

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