EMPLOYEE COMPLIANCE
Sales Compliance Review
Automate and standardize sales oversight to ensure every interaction meets compliance and conduct standards.
YOUR FIRM, YOUR RULES
One Solution. Complete Oversight.
Sales activity is a high-risk compliance area—especially when client outcomes, product suitability, and regulatory scrutiny are in play. Star’s Sales Compliance Review solution simplifies and systematizes oversight across the full sales lifecycle. With automated risk detection, configurable workflows, and real-time monitoring, compliance teams can focus on outcomes, not administration.
Related Solutions
Ensure compliance with the FCA’s Senior Managers and Certification Regime.
Track employee training, manage certifications, and ensure ongoing compliance through customizable oversight and reporting.
FAST, AUTOMATED DECISIONS
Ensure Fair Outcomes with Confidence
Sales Compliance Review empowers firms to meet their regulatory obligations by bringing structure, consistency, and transparency to the sales review process. Whether you’re performing pre-sale checks or reviewing closed cases, STAR surfaces the insights you need to take fast, defensible action—and ensures every customer receives the right product at the right time.
FAST, AUTOMATED DECISIONS
Automated Risk Analysis
STAR’s rules engine scores each sales case against configurable thresholds, evaluating adviser behavior, product type, and other case attributes to assess potential risk. High-risk cases are flagged for deeper review with a breakdown of risk factors and an audit-ready case record.
EASY REVIEWS AND INVESTIGATIONS
Streamlined Review Workflows
Dynamic QA workflows adapt based on case attributes, surfacing only relevant review tasks. STAR allocates cases across QA teams, balances workloads, and provides a single platform for managing reviews, assigning pass/fail outcomes, and tracking remediation steps—all in-app.
FAST, AUTOMATED DECISIONS
Improved Collaboration and Visibility
Sales Compliance Review centralizes collaboration across reviewers, sales advisers, and compliance officers. In-app feedback and real-time case updates ensure all stakeholders stay aligned. The result? Faster resolutions, clear documentation, and a consistent experience for both employees and customers.
DATA-DRIVEN DECISION MAKING
Tailored to Fit Your Business Model
Every firm operates differently. That’s why STAR supports percentage-based case sampling, rule-driven targeting, or both. Adjust review thresholds and sampling logic in line with your risk strategy—and apply controls across business units, product types, or individual advisers.
BUILT TO SUPPORT UK CONSUMER DUTY
Demonstrate fair value and good outcomes through structured oversight.
Consumer Duty requires UK firms to evidence that customers receive fair value and good outcomes. STAR’s Sales Compliance Review aligns directly with these requirements by embedding oversight into everyday processes, systematically documenting reviews, and flagging poor practices early. With a complete audit trail and retrospective review capability, firms can demonstrate they meet the four outcomes of Consumer Duty—fair treatment, clear communications, suitable products, and ongoing support.
Trusted by firms around the world
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.
Featured Resource
Riding the Regulatory Wave
Your guide to navigating the currents of employee compliance.
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