Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate security, legal, compliance and regulatory risk.

Kroll partners with clients to stay ahead of regulatory and reputational risks associated with ethics and compliance obligations around the world. We deploy a market-leading portfolio of enhanced due diligence services and technology solutions, with a focus on anti-bribery and corruption (AB&C) and anti-money laundering (AML), to assist clients with Know Your Customer (KYC) initiatives, third-party due diligence, M&A transactions, IPOs and supply chain due diligence.

Our teams draw on open-source resources and global human intelligence to perform enhanced due diligence, producing reports and action items tailored to each client's needs.

Our solutions help clients:

Manage Third-party Risk

We research reputations; environmental, social and governance (ESG); and cyber and financial records related to existing and potential relationships, including joint ventures, customers and partners, against sanctions, government watch lists, social media and other applicable databases.

Meet Global Regulatory and Legal Requirements

We help ensure compliance with Anti-Money Laundering (AML), Know Your Customer (KYC), USA Patriot Act, Foreign Corrupt Practices Act (FCPA), and UK Bribery Act regulations.

Mitigate Risks, Fines and Reputational Damage

We help identify and mitigate third-party and transactional, business and reputational risks before they develop into larger issues or trigger fines.

Become or Stay Compliant

We help clients understand the practical frameworks, policies and procedures, systems and controls, and technologies they need to stay compliant with current and evolving regulations.

Increase Peace of Mind

Our researchers manage cases from start to finish, conducting extensive internet, database and media research into a company and its principals to assess backgrounds, status, credentials, professional certifications, legitimacy and reputation.

Respond to Regulatory Reviews and Investigations

We help clients prepare for and respond to regulatory reviews and investigations. We also can undertake reviews at the appointment of regulatory authorities.

Connect with Us

Monique Melis

Managing Director and Global Head of Financial Services Compliance and RegulationLondon

Monique Melis monique.melis@kroll.com +44 (0)20 7089 0820

Nicolas Inman

Managing DirectorFinancial Services Compliance and RegulationLondon

nicolas.inman@kroll.com +44 (0)20 7089 0939

Kevin Braine

Managing Director and Global Head of Integrity Due DiligenceInvestigations, Diligence and ComplianceLondon

Kevin Braine kevin.braine@kroll.com +44 20 7029 5151

Tom Everett-Heath

Global HeadInvestigations, Diligence and ComplianceLondon

Tom Everett-Heath teverettheath@kroll.com +44 207 029 5067

Matthew J. Dumpert

Global LeaderEnterprise Security Risk ManagementNew York

Matthew J. Dumpert matthew.dumpert@kroll.com +1 212 833 3324

Emanuel Batista

Managing DirectorInvestigations, Diligence and ComplianceWashington DC

Emanuel Batista ebatista@kroll.com +1 571 521 6140

Mariellen Davies-DeMarco

Regional Managing Director, Integrity Due Diligence, North AmericaInvestigations, Diligence and ComplianceWashington DC

Mariellen Davies-DeMarco mdavies-demarco@kroll.com +1 703 860 0190

Tom Hollobone

Regional Managing Director, Integrity Due Diligence, EMEAInvestigations, Diligence and ComplianceLondon

Tom Hollobone thollobone@kroll.com +44 207 029 5159

Michael Watt

Regional Managing Director, Integrity Due Diligence, LATAMInvestigations, Diligence and Compliance

Michael Watt mwatt@kroll.com +1 305 428 3393

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