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.
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.
- Outsourcing: 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.
- Co-sourcing: 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
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Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate security, legal, compliance and regulatory risk.
Cyber Risk
Incident response, digital forensics, breach notification, managed detection services, penetration testing, cyber assessments and advisory.
Environmental, Social and Governance Advisory Services (ESG)
Advisory and technology solutions, including policies and procedures, screening and due diligence, disclosures and reporting, investigations, value creation, and monitoring.
Investigations and Disputes
World-wide expert services and tech-enabled advisory through all stages of diligence, forensic investigation, litigation, disputes and testimony.
Valuation Advisory Services
Our valuation experts provide valuation services for financial reporting, tax, investment and risk management purposes.
Corporate Finance and Restructuring
M&A advisory, restructuring and insolvency, debt advisory, strategic alternatives, transaction diligence and independent financial opinions.
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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