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Financial Services Risk, Regulatory and Compliance

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

Financial Services Regulatory and Compliance

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
  • M&A Risk Integration
  • 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

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
  • Consumer Protection
  • Compliance Transformation
  • Compliance Automation & Analytics
  • SIFI Designation
  • Digital Banking
  • Licensure Services

KPMG considered authority in risk consulting

KPMG is proud to again rank first across multiple risk advisory categories in Source's Perceptions of Risk Firms in 2024, including #1 for Authority in Risk.

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Explore client stories

Read case study perspectives directly from our clients

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Banking on improved regulatory compliance

KPMG is helping a financial services firm build a broad, thorough and sustainable framework for its compliance efforts around the world.

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Fortifying a new era of trusted banking relationships

KPMG helped a large U.S. bank reexamine its risk approach: tools, methodologies, and processes from top to bottom.

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Smarter, faster loan reviews

KPMG helped the U.S. Federal Housing Administration protect against losses with user-friendly technology and streamlined processes.

More stories

Read about how we help clients enhance their customer experience, improve business performance, and drive new revenue streams—then let us do the same for you.

Accelerate intelligent risk management

Let KPMG help you harness AI to build resilience.

Manage risk with efficiency and speed at scale with the help of our market-leading risk capabilities and AI-enabled solutions. By teaming with KPMG, you'll be able to focus on your strategic imperatives and opportunities while we help you navigate the complex risk and regulatory landscape with AI-driven solutions. We can help you:

  • Optimize risk and security measures: Implement AI-enabled automated threat detection, incident response, and vulnerability management to enhance your risk posture.
  • Gain real-time insights: Leverage dynamic risk modeling and AI-driven, real-time risk analysis to stay ahead of emerging threats.
  • Streamline compliance: Automate compliance monitoring and risk assessments with accuracy and speed.
  • Embed AI into governance: Integrate AI into your governance structures to meet regulatory requirements, perform AI evaluations and monitoring, and strengthen risk mitigation strategies.
  • Integrate AI responsibly and safely: Implement trust building measures to capitalize on AI benefits and mitigate risks.

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