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.
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Regulators and corporate executives are increasingly seeking third parties to assess, supervise and monitor corporate organizations’ compliance with company policies, procedures, relevant laws and regulations and corporate ethics programs. These monitorships arise under various mandated circumstances, such as deferred prosecution agreements (DPAs), non-prosecution agreements (NPAs) and other consent decrees. They may be voluntary in the case of a construction monitorship; corporate ethics monitor or ombudsman.

We have created business monitoring and compliance programs at the request of boards of directors or corporate executives to detect and prevent fraudulent and/or unethical activity and to enhance an organization’s integrity. Kroll’s monitoring teams combine local knowledge, industry understanding and expertise in financial accounting, enterprise risk management, compliance, internal audit and related disciplines.

Our professionals have acted as independent consultants/monitors to global financial institutions and gaming entities as part of their resolutions of AML and Office of Foreign Assets Control enforcement actions brought by state, federal and international regulators as well as gaming commissions including:

  • New York Department of Financial Services (NYDFS)
  • Financial Crimes Enforcement Network (FinCEN)
  • Federal Reserve Board of Governors
  • Financial Conduct Authority (FCA)
  • Prudential Regulatory Authority (PRA)
  • Autorité de Contrôle Prudentiel et de Résolution (ACPR)
  • New South Wales Independent Casino Commission the South Australian Government

Kroll also provides corporations with independent oversight of large-scale construction projects, strategically managing costs by reducing waste, fraud and abuse through monitoring. Our integrated, programmatic approach to cost containment includes vendor integrity reviews, training, operational and administrative oversight and post-construction analysis and reporting.

Our Background

Former Prosecutors
Law Enforcement Professionals
Former Regulators
In-House Compliance Professionals
Forensic Accountants
Investigators
Engineers and Industry Experts
Research and Data Analysts

Hiring for Your Firm? Keep Risk and Reputation in the Forefront

The head of anti-bribery and corruption of a large gaming company required urgent background checks on an individual who was recommended by senior staff for a high-level position within the organization. Click to read more details on our global approach to Compliance and Regulation.

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Hiring for Your Firm? Keep Risk and Reputation in the Forefront

The head of anti-bribery and corruption of a large gaming company required urgent background checks on an individual who was recommended by senior staff for a high-level position within the organization. Click to read more details on our global approach to Compliance and Regulation.

Read More


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.