Financial Services Regulatory and Compliance Services

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, AI and emerging technology, and enhanced regulatory scrutiny.

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

What’s top of mind for Chief Risk Officers (CRO):	What’s top of mind for Chief Compliance Officers (CCO):
Modernizing risk organization through AI and automation Supporting cost takeout and efficiency initiatives Supporting the growth agenda through pre-acquisition due diligence and integration activities New markets, products, and services assessment Modernizing technologies and risk operating models Credit quality and lending risks Banking category change, recovery, resolution, and planning	Regulatory changes and the impact to organizations Regulatory compliance simplification and optimization AI and automation implementation into compliance processes and reporting Addressing the cost agenda through smart spending initiatives and cost takeout New markets, products, and services assessment Monitoring conduct and abusive behaviors
How KPMG can help
Modeling, Credit, and Liquidity Model development across the risk stripes Optimizing model risk management, including through use of AI Treasury and liquidity services Crisis planning and regulatory reporting to drive operational efficiency and compliance Credit portfolio quality End-to-end credit target operating model and optimization Acquisition due diligence Non-Financial Risk Risk framework design, optimization, and implementation Risk transformation, M&A integration, and remediation strategy, design, response, and execution Advanced analytics, reporting, and surveillance (Integrating advanced analytics, AI, ML, and surveillance capabilities across the risk framework)	Consumer Compliance / Safety & Soundness Compliance automation Consumer protection and fairness Supervisory and enforcement preparedness and response Compliance management system optimization Banking application, chartering and licensure services Digital compliance integration (system/platform design) Due diligence / M&A support Markets Compliance Examinations Compliance framework assessments and enhancement New market entry and licenses Regulatory obligation data management E-trading risk management

KPMG received top rankings across multiple categories in Source’s Perceptions of Risk Firms in 2024. According to buyers of risk advisory services who participated in the study, KPMG ranked 1st in multiple risk categories, including:

1st for Authority in Risk (seen as an authority on the pressing issues of the day)
1st in First Choice for Program Risk
1st in First Choice for Responding to Regulation

Tied for 1st in First Choice for Third Party Assurance

According to 200 senior risk executives across 14 industries around the world who participated in the analyst firm Verdantix's Market Perception Trends: Risk Consulting Providers 2023 survey, KPMG received a top ranking for providing “market-leading capabilities” among risk consulting firms:

38% of those surveyed said KPMG was market-leading, higher than any other risk consulting service provider.

KPMG was named a Market Leader by HFS Research in "Generative Enterprise Services 2025" for AI-led enterprise transformation with a human-centric and risk-appropriate approach. Specifically, the report highlights:

Our firm's key differentiators as: “KPMG leads with its trusted AI framework (ten-pillar framework, trusted AI toolbox, approach to optimizing the strategic balance between risk and value from the POC stage), human-centric adoption, and the use of Gen AI internally.”
Our firm's value proposition as: “Transforming enterprises’ end-to-end operating models by embedding AI/Gen AI to drive value through augmentation and automation, with an emphasis on trust, scalability, human-centric designs, and measurable outcomes for clients across industries.”

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