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 data and task progress means reduced risk, more accurate revenue projections, and greater predictability.
More Automation
Compliance is increasingly asked to do more with less, and with STAR, you can. Connect directly with FINRA to automatically push registrations, updates, and terminations to FINRA via Star’s API integration and stay up to date on CE due dates, exam-window expirations and much 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
STAR has eliminated the guesswork for employees, supervisors, compliance teams, and HR by offering a self-service solution that streamlines essential processes and provides a centralized platform for firms to track representatives’ progress.
Trusted by firms around the world
Centralized monitoring to track requests and gain approvals fast
Two-way integration with FINRA for improved automation
Visibility into the multistep license and registration process across the business
Enterprise reporting capabilities with improved progress and Rep tracking
Featured Resource
How Software Solutions Can Help Scale Your Broker-Dealer License & Registration Program
Does managing your firm’s broker-dealer 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
