3 Benefits Of Individual Risk Scores In Compliance Management
Risk scores move organizations beyond rules-based compliance toward predictive compliance.
EMPLOYEE COMPLIANCE
Training & Competency
Automate training and competency management, ensure regulatory readiness, elevate training standards, and shield senior managers from risk — all in one solution.
One Solution.
Complete Oversight.
Star’s Training & Competency solution is a centralized, scalable solution that helps financial firms meet regulatory requirements, boost productivity, and streamline oversight. With out-of-the-box best practices and fully configurable workflows, Star replaces manual processes with an automated, evidence-based approach — supporting compliance leaders, supervisors, and individuals across the firm.
Related Solutions
Ensure compliance with the FCA’s Senior Managers and Certification Regime.
Maintain a compliant Individual Accountability and Conduct (IAC) program aligned with MAS regulations.
Stay aligned with the Central Bank of Ireland’s Individual Accountability Framework requirements.
Comply with Australia’s BEAR and FAR accountability frameworks with confidence.
Workflow Automation & Configurable Forms
Configurable forms let you standardize key assessments—such as 1:1s, sales observations, and onboarding reviews—with dynamic sections, built-in approval workflows, and version control. Automation rules trigger tasks, alerts, and escalations based on employee status, role changes, overdue actions, or risk movements. Star ensures that the right actions happen at the right time—without manual intervention.
Training Management & Regulatory Testing
Star makes it easy to deliver, track, and manage training at scale—whether it’s in-person, virtual, or eLearning. The platform includes a centralized training module that holds full course portfolios, recurring training events, and nomination workflows. SCORM-compliant eLearning content can be uploaded directly or integrated via your existing LMS. Regulatory testing is fully flexible: firms can build custom assessments, use prebuilt templates, or combine both.
Risk-Aligned KPIs & Risk Assessments
Take a proactive, data-led approach to measuring people risk. Risk assessments are powered by KPIs that are fully configurable to your firm’s structure and risk appetite. Calculated using internal performance data, external regulatory inputs, or a combination of both, STAR offers a holistic view of risk across individuals and teams. Visual scoring models allow supervisors to quickly identify issues. STAR also supports historical comparisons, so you can track risk movement over time and intervene before small issues become big problems.
Span of Control & People Risk Insights
Star gives supervisors and compliance leaders deep visibility into who is supervising whom—and whether that span of control exceeds acceptable thresholds. STAR maps oversight relationships across business units, regions, and hierarchies, highlighting headcount, accountability roles, and associated risk scores. This enables firms to maintain tight oversight, align with SMCR expectations, and prevent supervisory breakdowns before they occur.
Dashboards & Reporting
Real-time dashboards and dynamic reporting tools help firms turn data into decisions. STAR dashboards use color-coded visuals and intuitive layouts to display key trends in performance, risk, and oversight. Supervisors and compliance leaders can drill down from top-level views into specific teams, roles, or individuals. Reports can be scheduled or exported as needed, helping satisfy both internal governance and external audit requirements.
Trusted by firms around the world
Regulatory Compliance & CPD Alignment
Designed to meet the evolving demands of today’s regulatory landscape, STAR helps financial services firms stay compliant, confident, and audit-ready across key regimes:
SM&CR (Senior Managers & Certification Regime)
Support annual certification of fitness and propriety with end-to-end tracking of competence, conduct, and oversight. Create and maintain Management Responsibility Maps and Statements of Responsibilities. Demonstrate reasonable steps, and handovers, and protect senior managers from regulatory risk.
FCA Training & Competence (T&C) Sourcebook
Meet FCA Training & Competence (T&C) requirements for attaining and maintaining competence with structured supervision, qualification tracking, and role-specific KPI monitoring. Automate CPD and SPS tracking while maintaining audit-ready records to evidence compliance and protect senior managers.
RDR (Retail Distribution Review)
Ensure advisers meet the FCA’s CPD standard of 35 hours annually (21 structured). Star tracks CPD automatically, links it to development plans, and supports the SPS process — removing the manual burden from supervisors and advisers.
IDD (Insurance Distribution Directive)
Maintain compliance with IDD’s 15-hour CPD requirement. Easily manage training, track completion, and report on progress to ensure insurance distributors meet knowledge and competence standards.
MiFID II
Verify the knowledge and skills of staff involved in investment advice and information provision. Use configurable assessments and audit-ready records to prove ongoing competence across roles and jurisdictions.
Drive A Culture of Compliance
Complete overview of competency-related activities
Innovative robust and flexible systems, controls and processes
Consistent assessment and maintenance of training and competency needs
EVERYTHING YOU NEED
Meet SMCR Requirements With Confidence
Explore Star’s robust SMCR solution, designed to help in-scope FIs establish and maintain a Senior Manager’s Regime with ease and confidence. STAR replaces manual processes with an automated, evidence-based approach to Statements of Responsibility, Responsibility Maps, FCA Directory Persons management, and more.
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Training and competency should forever be intertwined, and the success of any T&C management initiative hinges on a culture that supports learning.
