Financial Services Compliance and Regulation

Financial Services Compliance and Regulation

Kroll’s global team of recognized experts provides financial services clients with end-to-end compliance and regulatory services, working alongside you to minimize risks, drive efficiencies, and ensure compliance. We also operate regulatory platforms for private funds and UCITS clients through our UK-based hosted solution and Luxembourg- and Ireland-based management companies.

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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.


Local and global compliance expertise for the financial services industry.

Financial services professionals engage our team for assistance at every stage of the business lifecycle for both domestic and cross-border jurisdictional assignments.

Kroll’s Financial Services Compliance and Regulation practice combines a financial services focus, real world experience, independence and a united global team to help clients:

  • Minimize risks related to compliance and regulation, from routine tasks to complex challenges
  • Drive efficiency by developing, implementing and managing tailored, risk-based programs 
  • Mitigate fines and damages by identifying issues early and recommending proactive action
  • Stay compliant by intelligently navigating risks in a rapidly changing regulatory landscape
  • Start strong with regulatory authorization, registration and licensing and initial compliance setup
  • Meet objectives by delivering services responsibly, on time, within budget, and to quality standards

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.


How We Help Clients

Financial services clients engage us to assist at every stage of the business lifecycle to meet regulatory requirements, mitigate risks and navigate the rapidly changing regulatory landscape. 

Start-up

 
  • Authorization, licensing and registration 
  • Design of governance, risk and compliance models
  • Compliance infrastructure including compliance manual, personnel, policies, procedures, systems and controls
  • FCA regulatory hosted solution
  • AIFM/UCITS management company 

Business as Usual

 
  • Annual and independent regulatory and compliance-related reviews, independent assurance, health checks, and mock regulator examinations/audits 
  • Long-term advisory relationships 
  • Ongoing compliance monitoring and technical advice, as needed or on retainer 
  • Regulatory reporting
  • Short- and long-term secondments, including compliance, risk and MLRO
  • Operational due diligence
  • Training
  • Technology and data insight solutions

Periods of Change

 
  • Regulatory change assignments
  • Remediation design and implementation support
  • M&A regulatory due diligence 
  • Strategic advice on governance, risk and compliance operating models and frameworks

Times of Distress

 
  • Major remediation projects, including detailed file reviews
  • Regulator visit/inspection preparation and support
  • Regulator-appointed reviews such as Skilled Person reviews
  • Enforcement advice, support and remediation, before, during and after enforcement
  • Expert witness services

Our Unique Framework

Our team has technical expertise in specialties including governance and individual accountability, conduct and culture, risk and compliance, financial crime (including AML and sanctions), capital markets (including market abuse and transaction reporting), ESG, client monies/assets, and operational and enterprise risk.

With a deep pool of talent, our industry experts bring unrivalled experience and insight to our clients with advice that is tailored and relevant to their specific requirements and business.

Financial Services Compliance and Regulation

Recent Industry Recognition

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

Private Equity Wire US Awards 2022

Related Team

Connect with us

Monique Melis
Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
Phone
Matteo Basso | Financial Services Compliance Consulting | London
Matteo Basso
Managing Director
Compliance Consulting
London
Phone
Alyssa Heim
Alyssa Heim
Managing Director
Financial Services Compliance and Regulation
Los Angeles
Phone
Nicolas Inman
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
London
Phone
Ken C. Joseph
Ken C. Joseph, Esq.
Managing Director
Financial Services Compliance and Regulation
New York
Phone
Ian Manson
Ian Manson
Managing Director
Financial Services Compliance and Regulation
London
Phone
Malin Nilsson is a managing director at Duff & Phelps.
Malin Nilsson
Managing Director
Financial Services Compliance and Regulation
Jersey
Phone
Anna Povinelli
Anna Povinelli
Managing Director
Financial Services Compliance and Regulation
New York
Phone
Hannah Rossiter is a director at Duff & Phelps.
Hannah Rossiter
Managing Director
Financial Services Compliance and Regulation
Paris
Phone
Aaron Weiss
Aaron Weiss
Managing Director and Head of Asia Pacific
Financial Services Compliance and Regulation
Singapore
Phone

Stay Ahead with KrollStay Ahead with Kroll

U.S. Compliance Services

Comprehensive support for asset managers registering in the U.S.

UK Compliance Services

Comprehensive compliance and regulatory support for FCA authorized firms.

Asia Compliance Services

Expert compliance advice to Asia financial institutions.

European Compliance Services

Comprehensive compliance and regulatory support for EU firms.

Regulatory Advice and Consulting Services

Assistance to develop, implement, and manage global compliance and regulatory consulting programs.

Regulated Platforms

Kroll operates regulated platforms for private funds and UCITS clients through our UK hosted regulatory solution and Luxembourg- and Ireland-based management companies.

Consumer Duty Regulatory Insights

Consumer Duty Regulatory Insights

Kroll’s Regulatory Advice and Consulting specialists provide insight on the regulatory change now approaching the financial services industry and discuss the FCAs intention to place clear accountability for compliant implementation of the Consumer Duty.

 

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Consumer Duty Regulatory Insights

Regulatory Updates


Regulatory Update—First Quarter 2023

May 09, 2023

Regulatory Updates


Impact of SEC Form PF Amendments on Fund Advisers

May 10, 2023

by Ken C. Joseph, Esq.Anna PovinelliAlyssa Heim

Economic Outlook


The Mid-Year Regulatory Update: Crisis, Volatility and More Regulation

Apr 12, 2023

by Ken C. Joseph, Esq.David LarsenJulianne RecineElizabeth M. KayAlan BrillHollie Mason

Regulatory Updates


Preparing for the Consumer Duty – Monitoring and Driving Customer Outcomes Using Data

Mar 24, 2023

by Mark TurnerDan YeloffMatt Austen

Regulatory Updates


Back from the Brink – Silicon Valley Bank UK’s Implications for Alternative Asset Managers

Mar 17, 2023

by Matteo Basso Warren Low

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