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Financial services professionals and others involved in the industry engage our team for assistance at every stage of the business lifecycle, for both domestic and cross-border jurisdictional assignments.
Kroll’s Financial Services Compliance and Regulation practice combines a financial services focus, real world practical experience, independence and a united global team to 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.
We have a multidisciplinary team with a strong depth of technical and industry experience, drawn from leading financial institutions, regulators and professional advisory firms.
Through our global presence in key financial services markets, we are closely connected with the industry and regulators. Clients also benefit from our “one team” borderless approach.
Our practice is focused exclusively on financial services. We work with firms at all stages of the business lifecycle to advise and support their regulatory and compliance needs.
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![]() | Private Equity Wire European Awards 2023 |
by Haydn Jones, Thomas Bock, Paul Connolly, Fernanda Barroso, Maria Evstropova
by Maria Evstropova, Matt Austen
Kroll works with regulators and firms around the world to deliver comprehensive skilled person reports, address risks and return to business as usual.
Kroll is a leader in performing regulatory and compliance reviews that complement the financial, commercial and legal M&A transaction due diligence process.
Kroll's expert compliance consulting team provides regulatory registration and licensing services taking the burden of regulatory requirements off business operators.
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.
Within our Regulatory Advisory and Assurance Services, we assist financial services firms in a range of engagements across our suite of subject matter expertise.
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.
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.
Automate routine compliance tasks and stay ahead of risk with Kroll’s regulatory expertise.
Kroll’s Managed Compliance Software is cost-effective and efficient technology that embeds Kroll’s global knowledge into financial services firms’ compliance programs, guiding you through all stages of the regulatory life cycle.