Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
Financial Services Compliance and Regulation
In the ever-evolving financial services landscape, Kroll's award-winning team offers comprehensive regulatory and compliance services, guiding clients through registration, licensing, and compliance support to minimize risks and enhance efficiency globally.
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Global Compliance and Regulatory Expertise
Kroll’s experts provide a broad range of services to financial institutions worldwide, supporting sell-side banks, brokers, buy-side asset, and wealth managers. We guide clients through every stage to minimize regulatory risks and enhance operational efficiency.
Our services are tailored to meet the unique needs of each client. We provide specialist support through ongoing advisory services or one-off thematic or event-driven reviews. Financial institutions, both regulated and unregulated, rely on our expert global teams for support throughout the business lifecycle, including domestic and cross-border assignments.
Our Clients
- Private funds: Hedge, Equity, Credit, Real Estate
- Wealth Managers and Investment Advisers
- Registered Investment Companies (RICs)
- Business development companies (BDCs)
- Broker-dealers
- Venture capitalists
- 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
Regulatory Expertise and Advisory Services
Our team provides specialized regulatory expertise in governance, risk and compliance to a wide array of financial institutions.
With a deep pool of talent, our industry experts provide tailored and relevant advice, leveraging their experience from leading financial institutions, regulators, and professional advisory firms.
Expert Team | Connected | Focused |
|---|---|---|
Multidisciplinary professionals with extensive technical and industry experience. | Strong industry connections and insights across the globe. | Dedicated to delivering precise and relevant regulatory advice. |
Kroll's 2025 Financial Crime Report
Kroll's 2025 Financial Crime Report
From pivotal elections to advances in AI to heightened geopolitical tensions, the events of the past year have only amplified the challenges of fighting financial crime. Based on data from over 600 executives across the globe, our report provides insight to help leaders prepare for what’s next.
Recent Industry Recognition
 | Private Equity Wire US Awards
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| Private Equity Wire US Private Credit Awards
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 | Hedgeweek US Emerging Manager Awards
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 | Private Equity Wire European Awards
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 | Private Equity Wire EU Emerging Manager Awards
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Connect with Us
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
London
Colleen Corwell
Managing Director
Financial Services Compliance and Regulation
New York
Aaron Weiss
Managing Director and Head of Asia Pacific
Financial Services Compliance and Regulation
Singapore
Hannah Rossiter
Managing Director
Financial Services Compliance and Regulation
Dubai
Grainne O' Farrelly
Managing Director
Financial Services Compliance and Regulation
Dublin
Ed Shorrock
Managing Director
Financial Services Compliance and Regulation
Jersey
Dimitri Parraud
Managing Director
Financial Services Compliance and Regulation
Paris
Regulating Cryptoassets in the United Kingdom
Regulatory Updates
Regulating Cryptoassets in the United Kingdom
April 16, 2025
by Haydn Jones, Darragh Finn, Andrew Kasapis
Regulatory Updates
Future Regulation of UK Alternative Investment Fund Managers
April 9, 2025
by Matteo Basso, Darragh Finn
Regulatory Updates
Kroll’s Insights and Implications from the FCA's Review of Private Fund Market Valuation Practices
April 2, 2025
by Ryan McNelley, Warren Low, Matteo Basso
Regulatory Updates
Unlocking Retail Access to Private Funds: Navigating Complex Regulations
February 19, 2025
by Colleen Corwell, David Larsen
Cybersecurity for Fund Managers
Identify and mitigate cybersecurity risks across the deal lifecycle and create fund value for investors.
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.
Kroll is headquartered in New York with offices around the world.
One World Trade Center
285 Fulton Street, 31st Floor
New York NY 10007
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