Compliance Training & Competency Solution
Employee training that builds trust & certainty within your firm.
Training & Competency That Builds Trust & Certainty
Star’s Compliance Training & Competency (T&C) solution provides the tools you need for developing your most valuable asset – your staff. Drive firm-wide professionalism, support a culture of compliance, protect your firm’s reputation, and deliver better results for your customers – strengthening their trust in your business. Drive a culture of compliance by:
- Complete overview of competency-related activities
- Innovative robust and flexible systems, controls and processes
- Consistent assessment and maintenance of training and competency needs
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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.
How Does Star T&C Help?
With Star T&C, you gain powerful process management, record keeping, and employee oversight capabilities to ensure your organization’s systems and controls fully support the management of competency and professionalism. Star T&C also delivers a single view of competency for the certification requirements of Individual Accountability Regimes.
- Complete T&C support to all roles, including consistent route to competence and continuous tracking of competency, bespoke assessments and precise record keeping
- Track performance against business standards such as KPIs and display ‘RAG’ (red, amber, green) dashboard management of key controls
- Provide online competency testing management to support specific testing regimes
- License framework prevents unauthorized sales and supports career development
- Integrates with existing Learning Management Systems, E-learning and testing materials
- Manage and track the required activity to attain a ‘Statement of Professional Standing’ (SPS)
- Schedule training and manage bookings
- Fully support Continual Professional Development (CPD)
Quality & Certainty for Your People & Processes
Star T&C gives you the ability to monitor and improve the quality of your people and processes, confirm that fair customer outcomes have been delivered, and gain effective oversight of business quality benchmarks.
- Deliver people-specific KPIs and business-defined ‘RAG’ (red, amber, green) rated risk assessments
- Integrate with existing systems and data for a single picture of your people’s performance, compliance, risk, conduct and competency
- Provide comprehensive, risk-based quality and case checking
- Manage and report on complaints
- Support existing business processes with generic case management
Conflicts
Protect your employees and reduce risk with a suite of solutions designed to address a range of potential employee conflicts.
Ensure employee trading and investments meet all regulatory and internal policy requirements.
Gain comprehensive pre-clearance and post-trade oversight across 100+ crypto exchanges and 25+ blockchains.
Simplify declarations for employees holding non-publicly traded investments.
Track and report gifts and hospitality—given or received—to stay compliant with anti-bribery regulations.
Easily capture and manage employee disclosures for external business engagements.
Enforce pay-to-play thresholds and minimize employee-related risk with purpose-built tracking and controls.
Monitor employee trading against market activity and public news to detect potential insider risks.
Incident Management
Streamline HR and compliance processes while providing employees with a safe, anonymous space to report incidents.
Offer employees multiple reporting channels and simplify incident intake, management, and resolution.
Enable global reporting with multilingual support across 65+ languages.
Control Room & MNPI Management
Organize and manage your most important inside information data flows and conduct conflict searches with ease—all from a single source of truth.
Centralize MNPI oversight with tools for wall crossings, insider lists, restricted lists, and more.
Manage conflicts, monitor deal teams, and streamline wall crossing workflows with StarCompliance Enterprise.
Complete marketing and advertising reviews faster with AI assistance.
Individual Accountability & Training
Comply with global accountability regimes by fortifying employee accountability, training, and competency.
Meet regulatory requirements across the UK, Singapore, Ireland, and Australia.
Track employee training, manage certifications, and ensure ongoing compliance through customizable oversight and reporting.
Broker-Dealer Registration
Gain transparency and confidently manage license and registration workflows in one centralized platform.
Streamlined broker-dealer licensing and registration processes for employees and compliance teams.
Compliance Teams
Providing a single, user-friendly system to monitor and manage employee activity and behavior.
Human Resources
Empowering executives, HR representatives, and compliance managers to uphold best practices and mitigate risk.
Technology Teams
Supporting IT teams with easy implementation and seamless migration.
