Markets Compliance

Helping financial institutions navigate regulatory complexity with confidence.

KPMG Markets Compliance services support organizations across the evolving U.S. regulatory landscape, providing support for examinations, compliance framework enhancements, new market entry and licenses, and ongoing managed regulatory services.

Our teams help clients meet supervisory expectations, strengthen compliance frameworks, and establish the operational resilience needed to compete in today’s markets. From new market entry to ongoing regulatory obligations, we provide strategic guidance and hands-on support to help organizations respond effectively to regulatory demands.

As market structures evolve and regulatory focus, perspectives, and scrutiny change, firms must demonstrate strong and agile governance, controls, and risk aligned processes. KPMG combines deep industry insight, regulatory experience, and technology-enabled approaches to help clients enhance transparency, reduce compliance risk, and build trust across stakeholders’ aligned processes.

Regulatory Examinations & Supervisory Readiness

We help clients prepare for and respond to regulatory examinations by assessing existing compliance processes, identifying gaps, and supporting timely remediation.

Compliance and Supervisory Framework Development & Enhancement

Our teams design, enhance, and optimize compliance and supervisory frameworks to align with U.S. regulatory expectations, industry standards, and emerging market practices.

New Market Entry & Licensing Support

We support firms entering new markets by helping them understand regulatory requirements, establish appropriate licensing structures, engage with the regulators and build the processes and controls necessary for compliant operations.

Managed Regulatory Services

KPMG provides ongoing support through scalable managed services and other support models designed to help clients efficiently handle recurring compliance responsibilities and adapt to regulatory changes.

How We Help Clients

Strengthen Compliance Posture Increase Regulatory Confidence Accelerate Market Access Reduce Operational Burden

Strengthen Compliance Posture

We help organizations enhance their compliance operations, supporting clearer governance, more consistent processes, and improved oversight.

Increase Regulatory Confidence

Through examination readiness and continuous program maturation, we help clients demonstrate a confident, well-managed approach to regulatory engagement.

Accelerate Market Access

Whether expanding products, markets, or geographic presence, we assist clients in establishing the regulatory footing required for successful, compliant growth.

Reduce Operational Burden

Our managed services model enables clients to streamline compliance activities, increase efficiency, and focus more time on strategic initiatives.

Why KPMG

KPMG Markets Compliance specialists bring regulatory insight, sector-specific knowledge, and technology-enabled tools to help organizations keep pace with evolving requirements. We work alongside our clients to build strong compliance capabilities—advancing transparency, reducing risk exposure, and enhancing organizational trust.

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