Financial Services Regulatory and Compliance

KPMG brings innovative solutions that meet the unique risk and compliance demands of the financial services industry.

Financial institutions turn to KPMG to advance and transform their regulatory and compliance risk capabilities

We understand the unique needs of the sector because that’s where we come from. Our team is made up of former transactors and business managers, regulators, technologists, chief compliance officers, and risk management leaders—in short, we know your customers and stakeholder networks, your products, and your business.

Clients rely on our cross-functional experience and technology-enabled approach to help them meet the demands of today's financial services sector—protecting the assets of and building trust among consumers, investors, and other stakeholders and addressing current challenges such as cyber threats, ESG sustainability concerns, and enhanced regulatory scrutiny.

We have advised leading financial institutions across the globe—let us put our knowledge and experience to work for you.

Areas where we can help:

Risk

Regulatory Remediation Response and Undertaking
Control Assurance
Risk Strategy & Transformation
Risk Management Solutions
- Enterprise and Operational Risk Management (ERM / ORM)
- Third Party Risk Management (TPRM)
- Fraud Risk Management
- Electronic Trading Solutions
Operational Resilience
Advanced Analytics
- Data Driven Risk Management
- Code Review Capabilities
- Issue & Complaint Management Analytics
- Model Documentation
- Surveillance
Convergence
Conduct & Culture
Risk & Control Self-Assessments

Compliance

Regulatory Remediation Response and Undertaking
Compliance and Supervisory Reviews
- Core Compliance and Supervisory Reviews
  - Fee and Expense Reviews
  - Recordkeeping Reviews (e.g., FDIC 370)
  - Compliance Due Diligence & Integration
Regulatory Change
- Regulatory Change Impact Assessment and Implementation
- Regulatory Change Management
Consumer Protection
- Consumer Protection
- Consumer Harm Restitution & Remediation Services
Compliance Transformation
Compliance Automation & Analytics
Crypto Regulatory Strategy & Support
SIFI Designation
Digital Banking
Licensure Services

Subscribe to Risk and Cyber Insights to receive the latest news and updates from KPMG on how organizations can manage risk in today’s environment.

Our thinking

Client stories

View more client stories

featured Insight

Redefining customer experiences in order management

Lessons learned from early efforts to respond to customer disruption

KPMG focuses on 3 key capabilities to help you successfully manage supply chains through uncertainty:
Visibility, Analytics and Planning

Visibility

See it

Gain visibility across the end-to-end supply chain to foresee potential problems and maximize opportunity.

KPMG helps you:

Work collaboratively so you can see what customers, suppliers and logistics partners see
Use data (external signals and internal data sources), AI/ML, accelerators, methodologies, frameworks, and advanced modelling to make better, more informed decisions

Analytics

Analyze it

Employ data strategically to predict the impact of every scenario. Gain a 360-degree view into profitability. Identify gaps and route causes for delays and potential solutions.

KPMG helps you:

Build the model answer with our technology-agnostic analytics platform
Collate data—raw, structured, unstructured—and share robust insights and recommendations
Use advanced modeling and analytics to unlock hidden opportunities beyond human analysis
Explore scenarios to help mitigate risk

Planning

Plan it

Gain integrated planning capabilities to drive collaboration between demand, supply and production. Ensure alignment across the extended supply chain. Improve cross-functional collaboration and optimize capacity, logistics and network planning.

KPMG helps you:

Employ winning strategies and strong governance frameworks
Implement a short, mid-term and long-term roadmap
Explore short-term, accurate demand, supply and production scenarios
Develop mid- and long-term, proven S&OP/E and IBP capabilities
Implement operating models and technologies for demand-driven, insight-led supply chains