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:


  • Regulatory Remediation Response and Undertaking
  • Control Assurance
  • Risk Strategy & Transformation
  • Risk Management 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


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


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


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


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 


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Principal, Advisory, FS Regulatory & Compliance Risk


Partner, Advisory, FS Regulatory & Compliance Risk


Principal, Advisory, FS Regulatory & Compliance Risk