Compliance Risk and Diligence

The Kroll Investigations, Diligence and Compliance team partners with clients to anticipate, detect and manage regulatory and reputational risks associated with global ethics and compliance obligations. Our suite of solutions, including anti-bribery and corruption (ABC) and anti-money laundering (AML) supports know your customer protocols, third-party due diligence, M&A transactions, IPOs, and supply chain due 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.

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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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2023 Fraud and Financial Crime Report

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:

  • 69% of global respondents expect financial crime risks to increase over the next 12 months.
  • More than two-thirds of respondents plan to invest in technology to tackle the expected increase in financial crime.
  • More than half of respondents evolving technologies, digital currencies, data privacy and geopolitical tension as challenges posed to government in fighting financial crime.
  • 61% of respondents agree that ESG factors should be a consideration for all businesses and part of every financial crime compliance program.
 

Download the Report

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Kroll’s screening and due diligence solutions offer a cost-effective, high-quality, and programmatic approach towards assessing potential risks from new and existing customers, third parties, investments and partners.

Kroll Sports Solutions at a Glance

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Kroll supports the leading sports franchises, leagues and governing bodies, as well as private equity and other investors, with comprehensive risk management, valuation, tax services and cyber security solutions.

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Webinar Replay —2023 Fraud and Financial Crime Webinar

2023 Fraud and Financial Crime Webinar—Navigating the Complex Landscape of Financial Crime and Technology

In this webinar, Kroll's experts discussed key takeaways from this year's Fraud and Financial Crime report and strategies for getting ahead in the evolving fight against fraud and financial crime.

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Background Screening and Due Diligence

Comprehensive spectrum of background checks, screening and due diligence services.

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.

Monitorships

Kroll’s independent monitors have been engaged by courts, regulators and corporations in many of the most high-profile monitorships of the past 20 years. Our experts leverage their industry experience to help organizations maintain a working environment rooted in ethics and integrity.