Putting AI to Work in Compliance
Exploring how firms are approaching AI governance, adoption, efficiency, and operational impact as the technology moves into everyday compliance.
EMPLOYEE COMPLIANCE
Personal Account Dealing Compliance Software
Automate and streamline personal account dealing workflows across multiple asset classes. Highly configurable and user-friendly for both monitored employees and compliance teams, StarCompliance Enterprise reduces operational friction and firm risk.
YOUR FIRM, YOUR RULES
Configurable Rules Engine
StarCompliance Enterprise is powered by a robust rules engine and configured to your organization’s unique needs and policies. This leverages vast amounts of data like employee information, user group and line of business relationships, and marketplace data, to automate employee pre-clearance, surveillance, and other conflict checking workflows to streamline processes and increase efficiency. Easily configurable, compliance teams can manage and update the rules engine directly from their admin portal.
FAST, AUTOMATED DECISIONS
Pre-Clearance & Surveillance
- Employees complete a simple trade request form and within seconds, receive an automated approval or denial decision by the rules engine.
- Escalation channels can be defined for trades that need further analysis and review, alerting the employee’s manager and/or compliance team members in real-time.
- Trade requests can be submitted in the employee’s local currency and the entire workflow is available in multiple languages.
- The trade request form is configurable and can collect additional information over and above the standard recommended fields.
- Pricing and reference data available on 35 million+ global securities, including cryptocurrencies, mutual funds, ETFs, UITs, close-end funds and leveraged loans. Learn More
FAST, AUTOMATED DECISIONS
Trade Reconciliation
- Automate transaction-matching with our community of broker relationships via electronic feeds, refreshed every twenty-four hours and monitored by a dedicated team.
- Give employees one, easy place to upload broker statements and set up automated reminders to alert employees when statements are past-due.
- Eliminate manual statement-data entry with Star’s Secure Data Entry Service.
EASY REVIEWS AND INVESTIGATIONS
Case Management
- View all possible conflicts of interest with private investments that may require investigation.
- Collate data and evidence, add annotations and assign cases to relevant team members for speedy case resolution.
- Record the entire case cycle for audit purposes.
DEMONSTRATE REGULATORY RIGOR
Employee Certification Management
- Pre-schedule certification periods across the business and set up automated reminders to support on-time completion.
- Collate employee activities and data at regular intervals into certs and attestations within STAR.
- Push information, such as the latest firm policies and regulations, so employees can certify they’ve read and understand them.
- Configure certification templates by user group, role, location, and more so employees only review and attest to what’s relevant to them.
- Give employees an easy way to flag inaccuracies or report anything that’s been missed from within STAR as part of the certification workflow.
DATA-DRIVEN DECISION MAKING
Reporting & Analytics
- Access to 100+ standard report templates with the ability to design and build custom reports to meet your needs.
- Generate and schedule reports for automatic distribution across the compliance department and greater organization.
Data Enrichment
Global Security Master & GICS
- Pricing and reference data available on more than 70 million global securities including cryptocurrencies, mutual funds, ETFs, UITs, close-end funds and leveraged loans.
- GICS—one of the most popular industry/sector coding schemes—can be used to set comprehensive trade restrictions and reviews by industry.
OVERSIGHT FOR EVOLVING MARKETS
Monitor Prediction Market Activity with Confidence
Extend employee trading oversight to prediction markets through STAR’s integrated monitoring capabilities. With comprehensive on- and off-chain coverage—including support from our off-chain partner, Kalshi—firms can automate surveillance, surface suspicious activity, and strengthen oversight of employee conduct risk. Prediction Markets Monitoring is available as part of Star’s Crypto Dealing solution.
Fund Holdings Transparency
Bring underlying fund exposure into focus with greater visibility into top holdings across thousands of funds, helping you identify highly concentrated funds and single-stock ETFs that may introduce hidden risk.
- Gain visibility into the top holdings of a fund to better understand true exposure
- Automatically prevent trades in high-risk funds, including single-stock ETFs and highly concentrated funds, using firm-defined thresholds
- Conduct post-trade surveillance based on fund-level characteristics to identify potential issues
- Eliminate manual maintenance of high-risk fund lists through automated identification and controls
- Apply consistent controls to underlying fund holdings to strengthen oversight and reduce operational effort
Related Solutions
Ensure employee trading and investments meet all regulatory and internal policy requirements.
Gain comprehensive pre-clearance and post-trade oversight across 35+ exchanges, 30+ blockchains, 200+ tokens.
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.
Featured Resource
Certifications Process Checklist
Download StarCompliance’s Certification Checklist, providing 5 steps to a simpler, easier, more efficient certifications process.
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Four Insider Trading Theories Every Compliance Team Should Understand for Digital Markets
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