Financial Services Compliance and Regulation

Kroll's experts offer comprehensive regulatory and compliance services for financial institutions worldwide. From regulatory hosting to licensing, outsourced support, and independent assurance reviews, we guide clients through every stage, minimizing risks and enhancing efficiency across the global regulatory landscape.
Contact Us
Financial Services Compliance and Regulation

Local and Global Compliance and Regulatory Expertise for the Financial Services Industry

Financial services professionals and others involved in the industry 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 practical experience, independence and a united global team to help clients:

  • Start positively with regulatory authorization, registration, licensing and initial compliance setup
  • 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 censure, fines and damages by identifying issues early and recommending proactive action
  • Stay compliant by intelligently navigating risks in a rapidly changing regulatory landscape
  • Meet objectives by delivering services responsibly, on time, within budget and to high quality standards

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.


Business as Usual

Times of Distress

Our Clients

  • Investment, Retail and Private Banks
  • Asset, Fund and Real Estate Managers
  • Institutional and Retail Brokers/Broker-Dealers
  • Private Equity and Venture Capitalists
  • Wealth Managers and Investment Advisors
  • Trust, Corporate and Fund Administrators
  • Crypto Asset Service Providers


  • Management Companies and Authorized Corporate Directors
  • Trading Venues and Clearing Houses
  • Custodians
  • Credit, Mortgage and Finance Providers
  • Crowdfunding Platforms and Peer-to-Peer Lenders
  • Insurance Companies and Brokers

Our Unique Framework

Our team has technical regulatory expertise in many specialties, including governance, risk, compliance, financial crime, crypto assets, market abuse, regulatory reporting, fund management, retail and investment compliance, prudential and capital management and safeguarding of client/custody assets.

See our Regulatory Advisory and Assurance Services page to learn more about our wide range of subject matter expertise.

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.

Recent Industry Recognition

Skilled Person and Regulator Commissioned Reviews

Kroll works with regulators and firms around the world to deliver comprehensive skilled person reports, address risks and return to business as usual.

Regulatory Due Diligence

Kroll is a leader in performing regulatory and compliance reviews that complement the financial, commercial and legal M&A transaction due diligence process.

Global Regulatory Licensing Services

Kroll's expert compliance consulting team provides regulatory registration and licensing services taking the burden of regulatory requirements off business operators.

Retained Compliance Support and Managed Services

With expertise in diverse regulatory frameworks, including the FCA, the SEC, AMF, SFC, MAS and more, Kroll offers practical support, from initial authorization to ongoing compliance support.

Regulatory Advisory and Assurance Services

Within our Regulatory Advisory and Assurance Services, we assist financial services firms in a range of engagements across our suite of subject matter expertise.

Financial Services Internal Audit

Kroll’s Financial Services Internal Audit practice has specialist teams with subject matter experts who help our clients properly manage their major risks. We provide value-adding ideas and solutions to help achieve your business objectives.

Regulatory Hosting

Kroll operates several regulated platforms designed for clients wishing to conduct investment advice, arrange deals or operate private funds or alternative investment funds via our UK regulatory hosting solution.

Managed Compliance Software

Automate routine compliance tasks and stay ahead of risk with Kroll’s regulatory expertise.

Managed Compliance Software

Managed Compliance Software | Kroll

Kroll’s Managed Compliance Software is cost-effective and efficient technology that embeds Kroll’s global knowledge into financial services firms’ compliance programs, guiding you through all stages of the regulatory life cycle.

Request a Demo