Kroll evaluates, oversees and tests organizations for compliance with any number of laws and regulations on a mandatory or voluntary basis.
Regulators and corporate executives are increasingly looking to third parties to evaluate, oversee and monitor corporate organizations’ compliance with company policies, procedures, relevant laws and regulations and corporate ethics programs. Their goal is to ensure that employees and related entities operate legally and ethically. While these monitorships arise under a number of mandated circumstances, such as deferred prosecution agreements (“DPAs”), non-prosecution agreements (“NPAs”) and other consent decrees, they may also be voluntary, in the case of a construction monitorship or corporate ethics monitor or ombudsman.
Courts, regulators and corporations have regularly turned to Kroll to serve as a corporate monitor. We are experienced in meeting the challenges inherent in creating an integrity-based environment inside an organization in situations in which some level of misconduct has been detected. These include situations where the company has been the subject of a court order or subjected to substantial government oversight. In addition, Kroll has developed business monitoring and compliance programs at the request of boards of directors or corporate executives to identify and control fraudulent and/or unethical activity and to enhance an organization’s integrity.
Kroll’s monitorship teams conduct evaluations of an organization that is subject to oversight, establish plans for improving upon identified deficiencies, develop metrics for and measure against proposed compliance improvements, and prepare detailed compliance reports for courts, regulators and government agencies.
Our experienced professionals provide invaluable guidance, contributing from their diverse backgrounds in law enforcement, forensic accounting, law, compliance, auditing and subject matter expertise. Kroll’s subject matter experts include those with years of experience in banking (BSA, AML and OFAC) and anti-bribery and corruption (FCPA, UK Bribery Act) as well as other industries, such as construction and manufacturing.
Kroll also provides corporations with independent oversight over large-scale construction projects to assist our clients with strategically managing costs by reducing waste, fraud and abuse through monitoring. Our integrated and programmatic approach to cost containment includes vendor integrity reviews, training, operational and administrative oversight, and post-construction analysis and reporting.
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Business Intelligence and Investigations
Providing clients with global investigative expertise to help make critical decisions and mitigate risk.
Expert analysis and testimony in the context of litigation and/or commercial disputes
Compliance Risk and Diligence
Complying with anti-money laundering and anti-bribery and corruption regulations.