Financial Services Compliance and Regulation

Ireland Financial Services Compliance and Regulation Solutions

The regulatory environment in Ireland is dynamic and ever-changing. We support international funds, their investment managers, promoters, service providers and domestic financial institutions.

Compliance and Risk Consulting

We bring extensive relevant experience across UCITS, AIFMD, MiFID and AML/CFT regulations.

We have worked extensively with financial services firms across the industry to help them minimize risk and improve their governance, risk and compliance frameworks.

Our work is always proportionate to the nature, scale and complexity of our clients’ businesses and in line with regulatory requirements and industry best practice.

What Do We Offer?

Operational support:

  • Interim role secondments such as Head of Compliance, MLRO and Designated Persons
  • Ongoing and ad hoc advice 
  • Support pre, during and post regulatory visits or reviews
  • Engagement with regulatory authorities 
  • Assistance with regulatory change

Assurance:

  • Outsourced and co-sourced internal audit
  • Global regulator appointed reviews and investigations
  • Assessments of governance, risk and compliance frameworks 
  • Review of remediation work undertaken
  • Financial investigations including money laundering, fraud, bribery and corruption

Design of: 

  • Governance, risk and compliance frameworks and programs
  • Staff training programs
  • Programs in response to new regulatory developments and business changes 
  • Remediation programs

Implementation:

  • Staff training and development programs
  • Change and remediation programs, including both technical and project management aspects

AML Compliance (Ireland and The Cayman Islands)

Kroll can provide skilled individuals in both Ireland and Cayman Islands who will ensure, on your behalf, that the AML/CFT framework in your company is up to date and in full compliance with local regulations. These individuals can act as MLRO or deputy MLRO in Ireland and AML Compliance Officer (AMLCO), MLRO or deputy MLRO in the Cayman Islands.

As part of the role, the individuals will:

  • Participate in quarterly board meetings, providing quality-driven quarterly AML/CFT reporting
  • Perform an annual review of the AML/CFT framework of your business (if applicable) or relevant outsourced service providers (if applicable)
  • Prepare a tailor-made AML/CFT business risk assessment, using our proven and widely endorsed methodology
  • Prepare and maintain, in cooperation with your compliance team, your AML/CFT policy
  • Provide the board with mandatory, annual AML/CFT training, using our custom-made, top-class materials
  • Maintain registers required by law of all suspicious transaction reports, PEP, EDD accounts and declined business
  • Assistance during regulatory visits, including reviews, if required

 

Ongoing AML/CFT Compliance Solutions

Kroll’s dedicated AML Consulting Team can provide ongoing support to assist you in meeting your regulatory obligations:

  • Tailored AML/CFT policies and procedures
  • Due diligence reviews to provide independent assurance to senior management regarding AML/CFT controls
  • Ongoing consulting support on a retained or ad hoc basis
  • Assistance with preparation for any AML themed regulatory visits and the remediation of any findings
  • Training for staff and directors as required

 

Stay Ahead with Kroll

Financial Services Compliance and Regulation

In the ever-evolving financial services landscape, Kroll's award-winning team offers comprehensive regulatory and compliance services, guiding clients through registration, licensing, and compliance support to minimize risks and enhance efficiency globally.

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U.S. Solutions

Navigate the ever-changing U.S. financial regulatory environment with confidence. Kroll provides unparalleled expertise in SEC, FINRA, NFA and CFTC regulations, helping clients mitigate risks, maintain current compliance programs and confidently overcome regulatory challenges.

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UK Solutions

The UK regulatory landscape is constantly evolving, with new Financial Conduct Authority (FCA) initiatives introduced and working practices regularly updated at a European level.

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