Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
Financial Services Compliance and Regulation
Kroll's experts offer comprehensive regulatory and compliance services for financial institutions worldwide. From regulatory hosting to licensing, outsourced support, and independent assurance reviews, we guide clients through every stage, minimizing risks and enhancing efficiency across the global regulatory landscape.
Contact UsExplore Financial Services Compliance and Regulation
Local and Global Compliance and Regulatory Expertise for the Financial Services Industry
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:
- Start positively with regulatory authorization, registration, licensing and initial compliance setup
- Minimize risks related to compliance and regulation, from routine tasks to complex challenges
- Drive efficiency by developing, implementing and managing tailored, risk-based programs
- Mitigate censure, fines and damages by identifying issues early and recommending proactive action
- Stay compliant by intelligently navigating risks in a rapidly changing regulatory landscape
- Meet objectives by delivering services responsibly, on time, within budget and to high quality standards
Our Clients
- Investment, Retail and Private Banks
- Asset, Fund and Real Estate Managers
- Institutional and Retail Brokers/Broker-Dealers
- Private Equity and Venture Capitalists
- Wealth Managers and Investment Advisors
- 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
Our Unique Framework
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.
Expert Team
We have a multidisciplinary team with a strong depth of technical and industry experience, drawn from leading financial institutions, regulators and professional advisory firms.
Connected
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.
Focused
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.
Recent Industry Recognition
 | Private Equity Wire US Awards |
 | Private Equity Wire European Awards 2023 |
Under the Microscope: Organized Crime's Growing Influence in Financial Markets
Regulatory Update
Under the Microscope: Organized Crime's Growing Influence in Financial Markets
April 3, 2024
by Tammy Li, Maria Evstropova
Regulatory Updates
Ready Trader One—Ensuring Positive Consumer Outcomes in Gamified Financial Services
April 24, 2024
by Andrew Poole, Matt Austen
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.
Managed Compliance Software
Managed Compliance Software
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.
Kroll is headquartered in New York with offices around the world.
55 East 52nd Street 17 Fl
New York NY 10055
Sign up to receive periodic news, reports, and invitations from Kroll.
Our privacy policy describes how your data will be processed.
© 2024 Kroll, LLC. All rights reserved.
Kroll is not affiliated with Kroll Bond Rating Agency,
Kroll OnTrack Inc. or their affiliated businesses. Read more.