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EMPLOYEE COMPLIANCE

Modernize Firm Trade Surveillance

Say goodbye to manual reviews. Star’s Firm Trade Surveillance automates the process—saving time, reducing risk, and empowering compliance teams to act faster with greater confidence. 

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FAST AUTOMATED DECISIONS

Smarter Surveillance at Scale 

Manual processes can’t keep up with today’s regulatory demands. With automation, Star surfaces flagged trades instantly—so your team spends less time searching and more time resolving issues that matter. 

  • Automated detection at parent and ultimate parent levels
     
  • Automated case creation and alerts help catch issues before they escalate 
  • Fewer errors, faster outcomes, and no more manual bottlenecks 
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Associated Products

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MNPI Management

Star provides a one-stop shop for managing MNPI, wall crossings, insider lists, restricted lists, and more. Interested in automation and time savings?

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Compliance Control Room

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?

Personal Account Dealing

Ensure employee trading and investments meet all regulatory and internal policy requirements.

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FAST AUTOMATED DECISIONS

One System, Total Visibility  

Unify firm and employee trade monitoring within a single platform. Eliminate data silos, centralize case management, and build a comprehensive audit trail—all without switching systems. 

  • Monitor firm and personal trading activity from one, centralized system 
     
  • Investigate trades and document outcomes with in-app case management 
  • Instantly view all restriction data in one place for complete oversight 

Here’s how it works

FAST AUTOMATED DECISIONS

Tailored Control, Smarter Compliance  

Don’t just automate—optimize. Fine-tune risk tolerance rules, apply look back logic, and continuously improve surveillance with flexible configurations that fit your compliance strategy. 

  • Filter out the noise with custom rule settings 
  • Re-check past trades when list updates occur 
  • Detect insider risk with enriched trade and company data 
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Trusted by firms around the world

Why Choose StarCompliance?

Our future-ready compliance solutions deliver powerful results.

Why Star?
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.

Related Posts

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  • The Hidden Cost of Ineffective Trade Surveillance
    By: Steve Brown

    A single missed alert can cost a firm far more than the fine attached to it.

    Read More
  • Trade Reconciliation 101: Why It’s Crucial for Financial Accuracy
    By: Steve Brown

    Too often, trade reconciliation and surveillance is treated as a back-office function; but for compliance teams, it’s a frontline defense.

    Read More
  • The Transparency Gap In Fund Holdings
    By: Gary Chamberlain

    Funds are creating blind spots in employee trading controls. Learn how fund holdings transparency helps firms close gaps, improve visibility, and strengthen compliance oversight.

    Read More

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