Compliance solutions

Compliance Solutions

The STAR application is an all-in-one solution, designed to provide solutions for every area of the compliance domain. STAR is adaptable to the user’s needs and is organized into modules and sections, which allows users to resolve their problems by pinpointing the specific section they need to work with—without leaving the application. 

Software Features

While our application is fully modular, many important features work across our software to assist your compliance team with monitoring and managing employee data. Some of STAR’s most integral features are listed below.

  • Rules Engine Configurable rules engine allows for automated approval, denial or case creation.
  • List Management Manage blackout lists, custom securities, open orders, blackout days, brokers and broker offices.
  • Automatic Data Aggregation and Management Data is automatically transferred between modules and between areas of the database once pre-approvals and trade requests are approved. Additionally, STAR aggregates individual employee, entity and location data for reporting purposes and to present overviews of such data.
  • Roles Roles, assigned to specific employee or compliance accounts, allow changes to be made to user permissions without editing the configured attributes of the user account itself.
  • Email Alerts Fully configurable email alerts for employee submissions and automatically raised cases.
  • SurveillanceUsing our STAR Rules Engine, compliance staff can build surveillance definitions and use them to run tests to check for suspicious activities. The system allows users to select any attribute or rule to determine if employee contributions meet their firm's standards.
  • Compliance SubmissionsAs well as facilitating specific roles to allow for the review of compliance officers in the same manner as other employees, STAR allows permitted users to submit on the behalf of employees under their remit.
Book a demo

Our sales team are happy to demonstrate what STAR can do for you, and will detail bespoke specifications for your unique implementation requirements.