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Compliance Risk and Diligence

Compliance Risk and Diligence

Compliance Risk and Diligence

Kroll Compliance Risk and Diligence partners with clients to anticipate, detect, and respond to regulatory and reputational risks associated with Ethics and Compliance obligations worldwide. We offer solutions focused on Anti-Bribery & Corruption (ABC) and Anti-Money Laundering (AML) to assist with Know Your Customer, Third-Party Due Diligence, M&A transactions, IPOs and Supply Chain due diligence.

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Complying with anti-money laundering and anti-bribery and corruption regulations.

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Through a combination of in-depth subject matter expertise, global research capabilities, and flexible technology tools Kroll can help clients:

  • Design, set-up, and implement compliance programs and policies, taking into consideration the complex and unique laws across the world

  • Establish an overarching compliance strategy and culture, including firm-wide training programs

Compliance Risk and Diligence

  • Manage third party risks leveraging Kroll’s Third Party Compliance portal, a web-based due diligence, governance and compliance platform 
  • Take a risk-based approach to compliance through a broad range of Screening and Monitoring Services and Enhanced Due Diligence capabilities
  • Respond to potential risks through Kroll’s investigative, remediation, and look-back solutions
Compliance Risk and Diligence

Anti-Money Laundering (AML)

Many of the world’s top financial institutions call on Kroll to help them comply with key legislation like the USA Patriot Act and the Bank Secrecy Act (BSA). Adherence to these and other global regulations requires a risk-based approach to establishing and carrying out AML and Know Your Customer (KYC) programs, including customer identification programs and enhanced due diligence. Kroll provides tailored solutions commensurate with the level of risk involved, including: establishing policies, procedures and controls that are designed to detect and report instances of money laundering; client onboarding, screening and risk scoring; and enhanced due diligence on higher risk accounts.

Compliance Risk and Diligence

Anti-Bribery and Corruption

Between the Foreign Corruption Practices Act (FCPA), the UK Bribery Act (UKBA) and newer country-specific legislation, the global regulatory environment has grown increasingly complicated. Exposure to corruption-related risks continues to be one of the top business issues for compliance and in-house legal professionals as well as C-level stakeholders. Kroll can equip clients with the tools necessary to mitigate and remediate these regulatory compliance concerns.

Kroll’s solutions include anti-bribery and corruption program design and implementation, the use of Kroll’s proprietary 3rd Party Compliance Portal to assess and manage the risk of third parties and internal controls, ongoing screening, monitoring, and enhanced due diligence of third parties, and the ability to respond quickly to any bribery or corruption risk that may arise worldwide.

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Compliance Risk and Diligence Services

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Compliance

Kroll Compliance Portal

Efficiently Manage, Mitigate, and Monitor Third Party and Customer Risks
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Workflow Automation

Many compliance programs become time and resource intensive because of manual processes or inflexible software. Put an end to that with the Kroll Compliance Portal’s Workflow Automation.
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Protecting your organization from the reputational and regulatory risks associated with your third-party universe is a major responsibility for compliance and procurement professionals.
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First View Screening and Monitoring

First View enables instant screening and monitoring of large volumes of vendors, distributors, partners, and customers against millions of global risk profiles.
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