Thomas Bock
Managing Director, Head of U.S. Financial Crime Advisory Practice
Investigations, Diligence and Compliance
New York
Compliance Frameworks
Kroll’s team of seasoned regulatory professionals help global organizations and their regulators navigate ongoing compliance requirements and get ahead of unforeseen risks.
Contact UsKroll’s global reach and on-the-ground expertise provide organizations with the tools, knowledge and support they need to help global organizations and their regulators navigate their compliance requirements.
Leveraging decades of experience as regulators, seasoned compliance professionals, and legal and regulatory policy advisors, we can support our clients both old and new through a dynamic regulatory landscape at a local, regional, and global level. Our regulatory and compliance teams are drawn from leading financial institutions, government authorities, regulators, and legal and advisory firms.
Governance, Risk and Compliance
Kroll provides financial institutions and corporations and their regulators with the specialized expertise and resources they need to meet their compliance and regulatory obligations and respond to financial crime, AML compliance and regulatory shortcomings.
Located in key global financial centers, we are highly connected with regulators and industry associations and see regulatory and compliance risk through both the business and the regulator’s lens. This allows us to provide the best available advice to our clients on financial crime framework development, regulatory requirements and market practice, allowing them to stay ahead of evolving standards and emerging risks.
Remediation Management and Implementation Support
Navigating regulatory requirements and addressing compliance gaps is daunting for any organization. Kroll offers end-to-end solutions tailored to your specific needs, from identifying areas of non-compliance to developing and executing remediation plans and providing strategic guidance and hands-on support every step of the way. Whether our clients are addressing historical issues or proactively enhancing their financial crime framework, our holistic approach ensures efficient and effective remediation outcomes. With a focus on collaboration, transparency and results, we empower our clients to not only meet regulatory expectations but also maintain sustainable compliance practices and resilience to ongoing threats.
Regulatory Change Management
Kroll’s experts advise and support clients with managing emerging risks and related regulatory change by keeping abreast of impending change and building on established compliance frameworks. Our financial services professionals, combined with our global footprint, are uniquely positioned to advise on emerging risks and related regulatory change and the consequences to our clients’ existing risk frameworks in line with an organization’s risk profile, stage in its life cycle and related regulatory obligations.
Assurance Reviews, Health Checks, Internal Audits
Kroll experts create and manage a variety of assurance and internal audit services for organizations of all sizes, from one-time independent assessments over major risk areas to the creation and delivery of strategic internal audit programs. We collaborate with company leadership to identify concerns and assist our clients in implementing the most appropriate controls.
Our team of over 300 financial services professionals serves more than 1,200 clients in key financial markets around the world. They offer industry-leading insights and pragmatic solutions to the management of key risks.
Short- and Long-Term Secondments
Our financial crime professionals have a breadth of experience across all components of AML and financial crime compliance programs, and they have served in senior managerial roles and as onboarding, FIU and assurance professionals within financial services organizations. We offer tailored secondment solutions and provide highly skilled regulatory professionals at all levels who seamlessly integrate into the organization, providing specialized expertise for short-term projects or support to the team for an extended period in cases involving loss of resources or increased regulatory demand.
Casinos and Gaming Risk and Compliance
Drawing on decades of industry experience within some of the world’s top casino and gambling companies and senior experience within regulatory and law enforcement agencies, our international team appreciates the unique environment in which they operate. We provide informed advice to maximize performance and protect revenue while maintaining the highest standards for compliance and harm minimization programs. Our cross-functional team of experts and advisors brings skills in compliance, intelligence, investigations, cyber and physical security, valuations and restructuring to provide holistic support throughout the business life cycle. Learn More.
Pre-Transactional Due Diligence
Kroll is recognized as a leader in pre-transaction due diligence with decades of experience providing qualitative, contextual analysis and hard-to-find intelligence that help our clients make informed, confident investments and business decisions. With its global coverage and 450-strong expert team, Kroll is unique in its ability to deliver a broad spectrum of pre-transaction due diligence solutions to anticipate, detect and respond to exposure to a wide range of financial crimes.
Connect With Us
Tom Everett-Heath
Global Head
Investigations, Diligence and Compliance
London
Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
London
Ken C. Joseph, Esq.
Managing Director
Financial Services Compliance and Regulation
New York
Mark Turner
Managing Director
Financial Services Compliance and Regulation
London
Brett Manwaring
Managing Director
Investigations, Diligence and Compliance
New York
Amanda Wood
Managing Director
Investigations, Diligence and Compliance
Sydney
Grainne O' Farrelly
Managing Director
Financial Services Compliance and Regulation
Dublin
Hannah Rossiter
Managing Director
Financial Services Compliance and Regulation
Dubai
Malin Nilsson
Managing Director
Financial Services Compliance and Regulation
Jersey
Maria Evstropova
Director
Financial Services Compliance and Regulation
London
Survey Reveals 69% of Respondents Expect Financial Crime to Increase - Download 2023 Fraud and Financial Crime Report
Financial Crime
Survey Reveals 69% of Respondents Expect Financial Crime to Increase - Download 2023 Fraud and Financial Crime Report
June 29, 2023
Financial Crime
Webinar Replay: Identifying Fraud and Corruption Quickly to Reduce Their Impact
April 23, 2024
Hear risk experts discuss how timely identification of fraud and corruption can significantly reduce their impact to your organization.
Regulatory Update
Under the Microscope: Organized Crime's Growing Influence in Financial Markets
April 3, 2024
by Tammy Li, Maria Evstropova
Anti-Money Laundering
David Lewis Interview: Inside the World of Financial Crime and Asset Recovery
March 15, 2024
Investigations, Diligence and Compliance
Kroll’s Investigations, Diligence and Compliance practice leverages our best-in-class multi-disciplinary team to help businesses, law firms, financial institutions, private equity firms, government agencies, non-profit organizations and individuals meet their most critical challenges.
Financial Services Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
Data Insights and Forensics
We are the leading advisors to organizations, providing expertise and solutions to address complex risks and challenges involving technology and data. We advise clients with services to address risks in disputes, investigations and regulatory compliance.
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