financial-services-compliance-and-regulation-banner-desktop

Regulatory Advisory and Assurance Services

In an era of increasing regulatory scrutiny, Kroll stands as a premier provider of Regulatory Advisory and Assurance Services to the financial services industry. Our award-winning team helps clients navigate complex regulatory landscapes, offering tailored solutions from governance and risk management to financial crime prevention and investment compliance.

The financial services industry is subject to increasing regulatory scrutiny, with the financial and reputational costs of breaches growing. Financial institutions are also examining their business models and undertaking strategic trend analyses to prepare for future challenges and opportunities—of which regulation plays a key part.

Within our Regulatory Advisory and Assurance Services, we assist financial services firms in a range of engagements across our suite of subject matter expertise, including:

Design and development of governance, systems and control frameworks tailored to the business model and risk profile of each client
Risk assessments, rule mappings and regulatory gap analysis
Peer group benchmarking across industry standards
Health-checks, independent assurance, deep dive reviews and internal audits
Design and development of compliance monitoring programs and arrangements

Provision of ongoing technical advice, guidance and compliance support
Regulatory investigations and regulatory-commissioned reviews, including skilled person reviews
Design and implementation of regulatory change and remediation projects
Development and delivery of bespoke training, policies and procedural documentation
Short- and long-term secondments of compliance and regulatory experts to firms and regulators, including senior risk and compliance roles

Explore Our Areas of Regulatory Expertise

In an evolving regulatory landscape, effective governance is crucial to manage risks and meet regulatory challenges. Our global team of experts helps firms optimize governance arrangements, enhance risk management and promote sustainable growth. Working with diverse institutions, our dedicated professionals have an in-depth understanding of the global regulated financial services sector, ensuring we are well-placed to provide industry expertise and pragmatic advice for financial services’ compliance.

The governance services we offer at Kroll are fully bespoke and tailored to the needs of the businesses we work with. Whether you need assistance in designing governance frameworks or assessing the effectiveness of existing arrangements, at either the global or local level, our team of regulatory specialists can provide expert insight.

Whether it is providing training to senior leadership or aligning reporting frameworks, we regularly provide governance services in tandem with our other regulatory service offerings due to the integral part governance plays in managing regulatory risk for firms.

Contact Our Experts

In a rapidly evolving financial landscape, Kroll's Regulatory Advisory and Assurance Services provide invaluable guidance and support to financial institutions. Our multidisciplinary team of experts offers tailored solutions across a broad spectrum of regulatory challenges. From governance and risk management to financial crime prevention and investment compliance, Kroll equips clients to navigate complex regulatory environments with confidence. Trust our global network of professionals to help your organization thrive in an ever-changing financial world.

Global Technology Outage and Implications for Businesses

As digital systems become more interdependent, the consequences can be far-reaching as we are seeing now. Learn how Kroll can help.