How Can Compliance Teams Manage Their Representatives’ License and Registration Process More Effectively?
The process of registering for and obtaining a financial securities license can be a complex and time-consuming nightmare.
EMPLOYEE COMPLIANCE
Broker-Dealer Registration
Manage your Broker-Dealer license and registration workflows with transparency and confidence.
Broker-Dealer Registration No Longer Needs To Be Complex
StarCompliance Enterprise improves transparency and provides a direct connection to FINRA so you can easily monitor the multistep license and registration process from a centralized location.
Increased Transparency
Clear visibility into employee task progress, and expansive reporting means reduced risk, accurate revenue projections, greater predictability, and shorter cycle times.
Decreased Workload
Compliance is increasingly asked to do more with less, and with STAR, you can. Connect directly with FINRA to stay up-to-date on CE due dates, exam-window expirations, U4 submissions status, and more.
Easier Management
StarCompliance Enterprise centralizes all critical data in one place for easy management. Run reports, automate repetitive tasks, and ensure licensing and continuing education are up-to-date across your organization.
Streamline Registration Management
Increase visibility, predictability, and success rates
Combining STAR with SIA’s comprehensive exam training platform gives managers and training directors the ability to effortlessly monitor and take action on test dates, view exam-window expirations, and deliver exam training all from one central dashboard.
Trusted by firms around the world
Centralized monitoring to track requests and approvals fast
Easy integration with FINRA for improved transparency
Visibility into the multistep license and registration process
Enterprise reporting capabilities with improved progress and time tracking
Featured Resource
How Software Solutions Can Help Scale Your License & Registration Program
Does managing your firm’s license and registration workflows feel overwhelming, leaving you with little time to focus on revenue-generating opportunities?
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How StarCompliance’s License & Registration Software Helps Firms Generate Revenue
Zero. That’s how much revenue your registered reps may be generating for the two to three months it takes to complete the license-and-registration process.
StarCompliance Unveils Its New License & Registration Solution At Synergy ‘22 In Washington, DC
License & Registration will improve visibility into the multistep license-and-registration process and provide a direct electronic connection to the regulator, FINRA
