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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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
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 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. 

Our Unique Framework

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
Related Team

Connect with us

Monique Melis
Monique Melis
Managing Director and Global Head of 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
Nick Bayley
Nick Bayley
Managing Director
Financial Services Compliance and Regulation
London
Phone
Matteo Basso | Financial Services Compliance Consulting | London
Matteo Basso
Managing Director
Compliance Consulting
London
Phone
Hannah Rossiter is a director at Duff & Phelps.
Hannah Rossiter
Managing Director
Financial Services Compliance and Regulation
Paris
Phone
Malin Nilsson is a managing director at Duff & Phelps.
Malin Nilsson
Managing Director
Financial Services Compliance and Regulation
Jersey
Phone
Grainne OFarrelly
Grainne O' Farrelly
Managing Director
Financial Services Compliance and Regulation
Dublin
Phone
Anil Singh
Anil Singh
Managing Director
Financial Services Compliance and Regulation
Luxembourg
Phone
Aaron Weiss
Aaron Weiss
Managing Director and Head of Asia Pacific
Financial Services Compliance and Regulation
Hong Kong
Phone
Nicolas Inman
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
Hong Kong
Phone
Mark Le Page
Mark Le Page
Director
Financial Services Compliance and Regulation
Guernsey

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