Compliance and Regulation

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.

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AML Policy, Program Design and Implementation

A money laundering prevention program is an essential element among the measures that financial institutions must implement to protect their operations and promote trust among their clients and partners. Kroll works with clients to design, implement, and refine comprehensive AML policies and procedures as well as establish an overarching compliance strategy and culture including firm-wide training on AML compliance that reflects the latest regulatory and enforcement trends and industry best practices.

AML Due Diligence

Complying with AML regulations requires taking a risk-based approach towards assessing the risks from doing business with customers and third parties. Kroll offers a broad spectrum of risk-based screening, monitoring, and due diligence solutions that suit the needs of AML compliance professionals. We provide 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, and risk scoring; sanctions and negative news screening; monitoring; and open source public records research and enhanced due diligence on higher risk accounts.

Overflow and Outsourced Customer Identification and Verification

There are many advantages to outsourcing portions of your AML compliance program to Kroll. More and more, in-house compliance professionals are faced with internal financial pressures and resource constraints while looking to build an effective and robust AML program. Kroll can help supplement your existing efforts and provide CIP and due diligence solutions capabilities around the world.

Regulatory Investigations

Kroll conducts investigations into alleged violations of key AML legislation like the USA Patriot Act and the Bank Secrecy Act (BSA). This includes allegations of financial mismanagement such as money laundering, internal control lapses and other financial improprieties. Our unmatched investigative capabilities, worldwide presence and long-standing reputation for independence and integrity make us uniquely qualified to resolve regulatory concerns.

AML Remediation Services

Kroll helps clients expertly and efficiently resolve gaps and deficiencies in their AML compliance programs. We offer diligence remediation services to assist our clients with changes in the law and/or internal firm policies. Kroll also offers transactional remediation services, when clients may require a “look back” in order to evaluate in-house performance and compliance.

Unveiling a Corrupt Distribution Network through ABC Risk Assessments

Discover how Kroll helped a commercial goods conglomerate avoid reputational and financial harm while also protecting the people, assets and value of its well-established brand.

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Related Team

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David Lewis
David Lewis
David Lewis
Managing Director and Global Head of Anti-Money Laundering (AML) Advisory
Forensic Investigations and Intelligence
Paris
Howard Cooper
Howard Cooper is a Managing Director
Howard Cooper
Managing Director and Global Co-Head of the Financial Investigations Practice
Forensic Investigations and Intelligence
London

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