Compliance Control Room Handbook
This comprehensive guide to control room takes you step-by-step through design and development, including optimization best practices, defining scope, identifying technology, and more.
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Industry Experts
Star’s Future-Ready Compliance Platform
Star’s SaaS Platform is scalable and easy to use for both end users and administrators — built to drive employee adoption, reduce risk and gain operational efficiencies.
Industry Experience
20+ Years of Industry experience
Investment
$20M+ over the last 3 years into R&D
Service & Support
Increased headcount by 131% in 2023 to support our growing client-base
Software Development
Community-led by our robust user community of 350+ global clients
Expertise
75% of our team has 10+ years of experience in financial services and RegTech
Externally backed
Substantial backing and growth support from Marlin Equity Partners
Featured Resource
The Compliance Sprint: Leveraging Technology for Competitive Advantage
Discover the top 4 compliance trends that your team should leverage to strengthen business competitiveness in the year to come.
Compliance Software: Build vs Buy Guide
You Can Build A Compliance Platform, But Should You?
Certifications Process Checklist
Download StarCompliance’s Certification Checklist, providing 5 steps to a simpler, easier, more efficient certifications process.
Employee Conflicts of Interest
Protect your employees and reduce risk with a suite of solutions designed to address a range of issues.
Ensure employee personal trading and investments comply with all regulatory requirements and company policies.
Keep compliance teams in-the-know without compromising employees’ trading experience.
Simplify the declaration of employee private investments with outside organizations.
Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery and corruption regulations.
Avoid regulatory compliance breaches arising from employee external business activities.
Safeguard your business from conflicts of interest arising from political alignments or associations among employees worldwide.
Actively manage employee trading in the context of current market activity and news events to protect your company’s reputation.
Incident & Policy Management
Streamline HR and compliance processes by providing employees with clear, accessible policies and a safe space to report incidents.
Provide employees with multiple methods for reporting concerns while streamlining incident collection, management, and resolution.
Create, maintain, and manage your policies in one central, easily accessible place.
Support widespread policy adoption and adherence with a robust portfolio of ethics and compliance learning content.
Encourage and collect candid feedback from departing employees to drive continuous improvement.
Support 65+ languages for ease of reporting, no matter where employees reside.
MNPI & Enterprise Conflicts
Centralize deal data and identify business and employee conflicts
Star’s Compliance Control Room lets you organize and manage your most important inside information data flows and conduct conflict searches with ease—all from a single platform.
Star provides a one-stop shop for managing MNPI, wall crossings, insider lists, restricted lists, and more. Interested in automation and time savings?
Around the globe, investment banks are using the STAR Platform to spot enterprise conflicts, manage wall crossings, monitor deal teams, and more. Interested in streamlining workflows and improving transparency?
License & Registration
Take advantage of centralized monitoring and easy integration with FINRA and other regulators.
Manage your License and Registration workflows with confidence
On-Demand Configurability
Extensive workflows are highly configurable, powered by conditional logic.
Multi-Jurisdictional
Tailor time zone, currency, language, and more for global employees.
Intuitive UX
Drive employee adoption with ease and simplify employee access via standard authentication and/or single sign-on.
Actionable Intelligence
Quickly and easily get real-time analytics through customizable dashboards and reports.
Multi-Layered Protection
Safeguard sensitive data with multi-layered access rights based on division, department, role, location, and more.
Future-Ready Architecture
Gain a 360-degree view of your employee compliance anywhere with scalable, cloud-ready software and integrations with Snowflake, Thoughtspot, and PowerBI.
MNPI & Enterprise Conflicts
Integration Capabilities
Call upon critical data from existing firm systems by integrating your deal management, order management, human resources, and research tools with Compliance Control Room and gain an even wider view of firm activity.
CLIENT STORY
Successful Employee Adoption
A STAR user discusses her smooth experience implementing STAR from a core test group to a company-wide rollout of more than 4,000 users.
FREE DOWNLOAD
Seamless Implementation Toolkit
With over 300 clients in 114 countries, we’ve learned a few tricks along the way to ensure your implementation of the STAR Platform goes as quickly, and as seamlessly as possible.
To help your teams prepare, this toolkit includes:
• A vendor selection checklist
• A data migration process map
• Implementation FAQs
• The Star broker feed list
• A data migration checklist
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