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.
Our team has technical regulatory expertise in many specialties, including governance, risk, compliance, financial crime, crypto assets, market abuse, regulatory reporting, fund management, retail and investment compliance, prudential and capital management and safeguarding of client/custody assets.
See our Regulatory Advisory and Assurance Services page to learn more about our wide range of subject matter expertise.
With a deep pool of talent, our industry experts bring unrivalled experience and insight to our clients with advice that is tailored and relevant to their specific requirements and business.
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.
 | Private Equity Wire US Awards 2024 |
 | Regulatory Advisory & Compliance Firm of the Year 2024
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 | Private Equity Wire European Awards 2023 |
by Ken C. Joseph, Esq., David Larsen
by Ken C. Joseph, Esq., Richard Kerr
by Ken C. Joseph, Esq., Ana D. Petrovic, Jonathan "Yoni" Schenker, Jack Thomas
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.
