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.
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We can create and manage a variety of internal audit services for organizations of all sizes, from one-time assurance assessments over major risk areas to the creation and delivery of strategic internal audit programs. We collaborate with your management to identify problems, offer realistic ideas and assist our clients in implementing the most appropriate controls.

Our team of over 300 financial services professionals services more than 1,200 clients based in key financial markets around the world, including the UK, Europe, the Americas and Asia Pacific. They can offer industry-leading insights and pragmatic solutions to the management of your key risks.

Financial Services Internal Audit

Internal Audit Challenges

Increased regulatory and stakeholder demands have increased the need for organizations to ensure they have adequate independent and objective assurance over the effectiveness of their internal controls.

These pressures are increased through difficulties in attracting and retaining specialist skills covering all areas of risk and ensuring audit plans are aligned to changing business risk profiles.

Kroll’s Internal Audit Services

Our internal audit solution delivers a tailored approach to meet our clients’ needs. We recognize that the solutions to our clients’ challenges vary by organization type, size, culture and regulatory environment.


For many organizations, fully outsourcing their internal audit requirements is a cost effective way to achieve effective internal audit coverage that can draw on the wide range of capabilities needed to assess different areas and risks. We can offer access to the full range of Kroll’s capabilities and deep financial services sector experience through our Outsourced Internal Audit Service.


We can provide Co-Sourced Internal Audit support, supplementing your own resources with subject matter expertise in all areas of regulatory, technology and business risks.

External Quality Assessment (EQA) & Advisory

Kroll’s Internal Audit Quality Assurance professionals help organizations evaluate conformance with The International Standards for the Professional Practice of Internal Auditing and can provide advice to improve internal audit performance and services.

Frequently Asked Questions

A firm should, where appropriate and proportionate in view of the nature, scale and complexity of its business and the nature and range of its financial services and activities, establish and maintain an internal audit function, which is separate and independent from the other functions and activities of the firm.