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Financial Services Compliance and Regulation

Compliance and Regulatory Consulting

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.

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

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Local and global compliance expertise for the financial services industry.

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.

  • 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.

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Financial Services Compliance and Regulation

Financial Services Compliance and Regulation Services

Global Regulatory  Outlook 2021

Global Regulatory Outlook 2021

Kroll analyzes data from senior decision-makers in financial services to provide insights into the current and future global regulatory landscape.

Read our Findings



Regulatory Focus – December 2021


Regulatory Due Diligence Case Studies


Anti-Money Laundering Remediation Case Studies


The Importance of Jurisdictional Risk When Doing Business with Money Services Businesses

Global Risk

Global Fraud and Risk Report 2021/22

Global Risk

Global Enforcement Review 2021: Anti-Money Laundering Regulation


Markets Services Case Studies

Kroll assists financial services firms, trading venues and technology providers to comply with regulatory obligations and meet industry best practice in relation to all aspects of markets, pre-trade and post-trade regulatory reporting and surveillance.

MiFID II Transaction Reporting Services Case Studies

Kroll is a leading advisor in providing practical and proportionate MiFID II/MiFIR transaction reporting solutions for the financial services industry.

Skilled Person Reviews (S166) Case Studies

Kroll is recognized as a regulatory compliance expert by the UK’s financial services regulators, the FCA and PRA, where we are an appointed firm on their Skilled Person (S166) Panel.

Due Diligence Insights



Greening the Financial System in the UK – A Session with the FCA