Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
Financial Services Compliance and Regulation
Kroll’s global team of recognized experts provides financial services clients with end-to-end compliance and regulatory services, working alongside you to minimize risks, drive efficiencies, and ensure compliance. We also operate regulatory platforms for private funds and UCITS clients through our UK-based hosted solution and Luxembourg- and Ireland-based management companies.
Contact Us
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Local and global compliance expertise for the financial services industry.
Financial services professionals 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 experience, independence and a united global team to help clients:
- 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 fines and damages by identifying issues early and recommending proactive action
- Stay compliant by intelligently navigating risks in a rapidly changing regulatory landscape
- Start strong with regulatory authorization, registration and licensing and initial compliance setup
- Meet objectives by delivering services responsibly, on time, within budget, and to quality standards
How We 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.
Start-up
- Authorization, licensing and registration
- Design of governance, risk and compliance models
- Compliance infrastructure including compliance manual, personnel, policies, procedures, systems and controls
- FCA regulatory hosted solution
- AIFM/UCITS management company
Business as Usual
- Annual and independent regulatory and compliance-related reviews, independent assurance, health checks, and mock regulator examinations/audits
- Long-term advisory relationships
- Ongoing compliance monitoring and technical advice, as needed or on retainer
- Regulatory reporting
- Short- and long-term secondments, including compliance, risk and MLRO
- Operational due diligence
- Training
- Technology and data insight solutions
Periods of Change
- Regulatory change assignments
- Remediation design and implementation support
- M&A regulatory due diligence
- Strategic advice on governance, risk and compliance operating models and frameworks
Times of Distress
- Major remediation projects, including detailed file reviews
- Regulator visit/inspection preparation and support
- Regulator-appointed reviews such as Skilled Person reviews
- Enforcement advice, support and remediation, before, during and after enforcement
- Expert witness services
Our Unique Framework
Our team has technical expertise in specialties including governance and individual accountability, conduct and culture, risk and compliance, financial crime (including AML and sanctions), capital markets (including market abuse and transaction reporting), ESG, client monies/assets, and operational and enterprise risk.
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.
Recent Industry Recognition
 | Private Equity Wire US Awards |
 | Private Equity Wire European Awards 2023 |
2023 Fraud and Financial Crime Report
2023 Fraud and Financial Crime Report
Kroll analyzed global data from 400 senior leaders across three continents to gain insights into the current financial crime landscape and learn how technology might stop the threat of economic, crypto and ESG crimes.
Key findings from the report include:
- 69% of global respondents expect financial crime risks to increase over the next 12 months.
- More than two-thirds of respondents plan to invest in technology to tackle the expected increase in financial crime.
- More than half of respondents evolving technologies, digital currencies, data privacy and geopolitical tension as challenges posed to government in fighting financial crime.
- 61% of respondents agree that ESG factors should be a consideration for all businesses and part of every financial crime compliance program.
Connect with us
Matteo Basso
Managing Director
London
Alyssa Heim
Managing Director
Financial Services Compliance and Regulation
Los Angeles
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
London
Ken C. Joseph, Esq.
Managing Director
Financial Services Compliance and Regulation
New York
Malin Nilsson
Managing Director
Financial Services Compliance and Regulation
Jersey
Anna Povinelli
Managing Director
Financial Services Compliance and Regulation
New York
Hannah Rossiter
Managing Director
Financial Services Compliance and Regulation
Paris
Aaron Weiss
Managing Director and Head of Asia Pacific
Financial Services Compliance and Regulation
Singapore
US Regulation
Asia Compliance Services
Expert compliance advice to Asia financial institutions.
European Compliance Services
Comprehensive compliance and regulatory support for EU firms.
Global
Regulated Platforms
Kroll operates regulated platforms for private funds and UCITS clients through our UK hosted regulatory solution and Luxembourg- and Ireland-based management companies.
Twenty-Three Potential Compliance Pitfalls in the SEC’s New Private Fund Rules
Regulatory Updates
Twenty-Three Potential Compliance Pitfalls in the SEC’s New Private Fund Rules
December 15, 2023
by Ken C. Joseph, Esq., Jonathan "Yoni" Schenker, Ana D. Petrovic, Ken D’Aurizio
Regulatory Updates
The Financial Promotions Gateway: Ongoing Enhancement of the Regulatory Regime
November 2, 2023
by Matteo Basso, Tammy Li, Jon Hunsdon, Vishan Singh
Regulatory Updates
SEC Division of Examinations Announces 2024 Priorities
October 25, 2024
by Ken C. Joseph, Esq., David Larsen, Alyssa Heim, Anna Povinelli
Regulatory Updates
Restrictions, Prohibitions and Mandates of the SEC’s Private Fund Rules
August 25, 2023
by Ken C. Joseph, Esq., Anna Povinelli, Alyssa Heim, David Larsen, Chris Janssen, Kenneth D'Aurizio
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