Compliance Solutions
Lower your risk and increase productivity with our user-friendly regulatory compliance software solutions. From tracking personal trading activities to automating data collection, StarCompliance modules have you covered.
Political Activity
Hosted or Installed Software You have the option of installing our system behind your own firewall or you can host with our SAS 70 Type II hosting partner. Either way, you receive your own instance of the software and a dedicated database, configured with your specific policies and procedures. Our Business Analyst and Relationship Manager work with you to ensure that the STAR system is configured to meet your unique compliance requirements and to ensure the system continues to work efficiently following implementation.
Pre-Clearance Set up a fully customizable pre-clearance form to capture contribution amounts to individual politicians and political entities. Based on the rules engaged, contributions can be automatically approved or subjected to multiple levels of supervisory review.
Email Alerts Set up alert emails to manage your compliance workflow for political activity. Alerts are triggered for specific stages in the process managing political activity declarations. Alert email recipients can follow links to be taken directly to a specific workflow stage and perform any required work promptly and efficiently.
Automate Receipt of Electronic Contribution Feeds Because political contributions are a matter of public record, StarCompliance has developed an interface with providers of federal and state contribution information. This information can be compared with employee pre-clearance requests stored in the STAR system and to perform "look backs" on new employees.
Business Rules STAR offers a highly-configurable, no limit rules engine. Think of the most complex combination of guidelines and thresholds you need to build into a rule governing your employees' political activities. Now, limit the application of that rule to certain employees in particular locations - no problem. StarCompliance can make that complex rule embedding specific application criteria, no problem.
Custom Profiles Create custom profiles to monitor and control the political contributions of individual employees or specific employee groups who are considered at high risk for political activities due to their special political associations and affiliations.
Surveillance Capabilities Compliance staff can build surveillance definitions and use them to run tests after the fact to check for suspicious activities. The system allows you to select any attribute or rule to determine if employee contributions meet your firm's standards.
Aggregation and Reporting Aggregate amounts are reported across individuals, business entities, and locations. StarCompliance works with you at implementation to pull any data or calculated field from the database into a report. A powerful Report Builder allows you to design reports driven by political activity data held in STAR, which you can schedule for regular periodic updating and distribution or you can deliver on an ad hoc basis. All reports can be customized and exported to Excel or graphical reports using interactive charts can be displayed in pdf format.
Disclosure Forms can be created to manage the collection of periodic political activity reports as well as any type of attestation. Workflow and rules can determine who, if anyone, is required to approve the form.
Workflow The system has a fully configurable workflow engine to allow for an automated review and approval process. Workflow can be tailored for office location, position in the organization, type of rule response, or almost any conceivable threshold or guideline you may wish to include in compliance processes governing your employees' political activities.
Outside Business Activity
Ensure all employee outside business activity is fully disclosed and comprehensively reviewed to prevent conflicts of interests from arising.
Documents and Certifications
Deploy a set of purpose-built documents to gather and collate essential employee documents and certifications to meet compliance requirements
Charts and Reporting
Use Chart Designer to create graphically-rich charts driven by compliance data and embed these into your compliance activity and performance Reports.
