About

StarCompliance is a leading provider of compliance and regulatory solutions for the financial services industry. We provide compliance software with a focus on global regulations including, but not limited to, SEC, FINRA, FCPA, FCA, UK Bribery Act, and MiFID regulations. Our solutions provide an entirely configurable platform that manages the complex and burdensome processes associated with managing employee conflicts of interest, connecting all areas and providing a 360-degree view of all employee activity and behavior.

StarCompliance is privately owned and managed, since 1999 and holds ISO 9001 and ISO 27001 certifications. The company has operations in the United Kingdom and the United States. Our in-house R&D team is continuously developing compliance solutions to meet the ever-changing regulatory landscape faced by large global organizations. We provide our Clients with an integrated and streamlined compliance process for managing, preventing, detecting, reporting, enforcing, and resolving employee conflicts and risk surveillance activities through a single application.

We understand the ever-changing regulatory and political impacts and the problems that must be solved for our Clients to manage their day-to-day operations, such as:

  • Reduction of labor and costs associated with time and staff-intensive processes.
  • Mitigation of operational and reputational risk.
  • Centralization of Compliance functions as a well-formed process.
  • Adherence to existing regulatory obligations and preparation for potential regulatory reforms.

Business Solutions

In partnering with StarCompliance, our Clients are assured of a solution that leverages their existing policies to improve processes and procedures and introduces best practices from the marketplace. With StarCompliance, the Client is able to:

  • Fulfill reporting obligations through trade and gift/entertainment pre-clearance
  • Identify all employee broker accounts and certify transactions/holdings.
  • Monitor employee transactional activities.
  • Configure rules to drive workflows for trade, gift & entertainment, and outside activity requests.
  • Manage underlying data (i.e. HR, Brokers, Security Lists).
  • Distribute certifications, attestations and custom documents.
  • Identify potential violations or ethical breaches.

Management Team

Committed, determined, and experts in their fields, our team lead the way in compliance innovation

Marc joined StarCompliance in March 2002 and is responsible for the strategic direction, financial management and operation of the company. Prior to joining StarCompliance, Marc was a senior executive with Xpedite in the UK, where he led revenue growth from zero to $30 million in annual sales and led the sale of the company for $85 million. Marc received a BBA in International Business from The George Washington University.

Matt McGill leads the global sales, marketing and relationship management organizations. Since 2009, Matt has built formal infrastructure, processes and methodologies to maximize team and individual performance, leading StarCompliance to explosive revenue growth.

Matt has over 20 years of experience within the enterprise software space, successfully building and leading highly productive sales, marketing, client services and product management teams. Prior to joining StarCompliance, Matt co-founded SphereBuilder, an enterprise SaaS company that was sold to an industry leading relocation company. Earlier in his career, Matt spent 10 years in progressively senior management roles with Xpedite, the worldwide leader in enhanced messaging software. Matt holds a BA degree in Economics from the University of California, San Diego.

Sunil joined StarCompliance in June 2014 as CTO and brings extensive experience of the financial technology space including the compliance area. He has extensive experience delivering high quality enterprise business solutions to the leading global financial firms and brings a knowledge of the IT industry covering many technologies, methodologies and techniques. He brings a blend of local and global experience having worked in New York and held senior technology and product positions at both blue chip companies like Thomson Reuters & NICE Actimize and smaller startups like Fortent & Fizzback. Sunil is an IEE Certified Chartered Engineer (CEng) specializing in Software Management, Design and Development and holds an MEng degree from Surrey University in Electrical and Electronic Engineering.

Tim is an experienced enterprise software professional who has spent the majority of his career in the financial industry within the area of compliance and in particular employee conflicts of interest.

As a Director of Product Management, Tim helps our current and prospective clients realize the power of the StarCompliance software and imagine the future.

Tim has lived and worked in Australia, Singapore, France, the UK and the US and holds a BEng from Nottingham University in Electrical and Electronic Engineering.

Dale Sanders joined StarCompliance in January 2006 as an undergraduate software developer, he now focuses his attention managing the Technical Services, Infrastructure, and North American Professional Services teams. After successfully demonstrating his technical expertise as a senior software developer and advising clients in pre- and post- sales activities, to some of the most respected financial firms around the world, Dale spearheaded the formation of the Technical Services team in 2011. His strong work ethic and leadership skills ensured this new team became integral to StarCompliance’s success.

The Infrastructure team began reporting to Dale in late 2014, and StarCompliance became certified ISO 27001 and ISO 9001 compliant in 2015. Well-versed in our clients technical and business needs, Dale became the North American Professional Services Manager in 2016. Dale holds a BSc degree from Newcastle University in Computing Science.

Federico joined StarCompliance in the UK in October 2014 to lead the Professional Services team. He has 20 years of international experience in technology and consulting, and gained his knowledge in the Regulatory Compliance space at NICE Actimize, where he successfully delivered multi-million pound Anti Money Laundering and Fraud detection solutions to top-tier Retail Banking institutions.

His own and his team's commitment and determination, have secured the successful onboarding of client firms in StarCompliance's largest growth period to date. As of mid-2016 Federico has been focussing on the success of clients and the growth of Professional Services in the EMEA region.

Todd Spillane joined StarCompliance in August 2015 as Advisor bolstered by more than 27 years of experience in the financial services industry, including the last nine years as Chief Compliance Officer (CCO) for Invesco's US Compliance operations. With extensive domain expertise, management experience, a law degree and global contact base, he directs multiple areas of Star Compliance's business - technical support, finance, human resources and professional services.

Todd offers Star Compliance clients a wealth of valuable perspective derived from more than 20 years overseeing a variety of compliance operations for some of the industry's most recognized investment management firms at Invesco, American General, and Nicholas-Applegate. He is well-versed in managing the demands changing regulation can place on a compliance staff, and has first-hand experience with the benefits a customized software solution can offer in helping companies mitigate employee conflicts of interest. Todd earned a BA degree in politics from Fairfield University and a JD from Western New England School of Law. He is a member of the Connecticut Bar Association.

Partners

We have established relationships with industry-leading companies to provide the highest level of technology and support services to enhance the experience of our clientele. These strategic alliances are an essential component of our global strategy, which is focused on maintaining our leading market position in the regulatory compliance software solutions space and on providing the highest standards of client service.
Morningstar ByAllAccounts

Morningstar ByAllAccounts' patented data aggregation engine retrieves, enriches and consolidates data from any custodian to provide a unified, comprehensive and fully integrated feed of Broker Account information. Morningstar ByAllAccounts' consolidated Broker data is imported directly into STAR on each working day to ensure STAR is up-to-date. This allows clients to fully automate their compliance processes for monitoring Personal Account Dealing activity while using Brokers that do not offer direct electronic data feeds.

Interactive Data

Interactive Data Corporation (NYSE: IDC) is a leading global provider of financial market data, analytics and related services to financial institutions, active traders and individual investors. The company's businesses supply time-sensitive pricing, evaluations and reference data for more than 3.5 million securities traded around the world, including hard-to-value instruments. IDC provides StarCompliance's security master—a shared resource clients may reference for up-to-date data on equities, UITs, mutual funds, debt instruments and more.

Microsoft

StarCompliance is a Microsoft Gold Partner. Gold Partners are within the top 1% of Microsoft's solutions partners being granted access to the tools and support they need to help them stand out in the marketplace and build the closest possible working relationship with Microsoft.