Industries

Helping clients meet their business challenges begins with an in-depth understanding of the industries in which they work. That’s why KPMG LLP established its industry-driven structure. In fact, KPMG LLP was the first of the Big Four firms to organize itself along the same industry lines as clients.

How We Work

We bring together passionate problem-solvers, innovative technologies, and full-service capabilities to create opportunity with every insight.

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Careers & Culture

What is culture? Culture is how we do things around here. It is the combination of a predominant mindset, actions (both big and small) that we all commit to every day, and the underlying processes, programs and systems supporting how work gets done.

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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
  • Crypto Regulatory Strategy & Support
  • SIFI Designation
  • Digital Banking
  • Licensure Services

KPMG recognized as a leader in risk consulting

KPMG is proud to again rank No. 1 across multiple risk advisory categories in the Source study: Perceptions of Risk Firms 2023. These categories include First Choice in Financial Risk; First Choice in Third Party Assurance; and 1st for Client Advocacy in Risk.

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Banking and consumer compliance

How do you respond appropriately to financial regulations while containing the costs of compliance?

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Capital markets and investment management

KPMG can advise you on the strength of your compliance, risk and supervisory systems in today’s complex regulatory environment.

Capital markets and investment management
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Compliance testing and monitoring

Automate monitoring and testing to enhance effectiveness.

Compliance testing and monitoring
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Consumer fairness and protection

Key insights and leading practices for financial institutions

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Crypto Regulatory Strategy & Support

Risk and compliance considerations and resources

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Regulatory change management

Leverage our insights and experience to accelerate your path forward.

Regulatory change management
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Risk and compliance mapping and assessment

Curate a central repository of business processes, tied to regulations, risks, controls, policies, and procedures.

Risk and compliance mapping and assessment
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Trader surveillance

Dealing with the challenges

Trader surveillance
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Market, Credit, and Liquidity Risk

How can financial institutions use modeling and analytics to manage risk and take their organization to the next level?

Market, Credit, and Liquidity Risk

    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.

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    Explore other services tailored to your business​

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