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Our experts partner with compliance teams around the world to provide customizable, user-friendly software solutions designed to simplify every-day compliance processes while ensuring you meet the strictest regulatory standards.

Our system offers a host of benefits and reassurances for compliance leaders, compliance teams and technology specialists.

Automated conflict of interest detection and mitigation helps your compliance teams work better, faster and more effectively. The rigor of our reporting, surveillance, certification and security systems provides complete peace of mind for Chief Compliance Officers and board members.

Helping you to detect and prevent market abuses that could jeopardize your reputation and regulatory compliance. Actively manage insider lists and investigate employee trading in the context of current market activity and events.

Clear deals faster. Centralize deal data. Reduce your risk. Compliance Control Room lets you organize, manage, and monitor your firm's most important information flows from a single platform.

Whether for work or pleasure, it’s a mobile world. And a mobile workforce calls for mobile solutions. Introducing STAR Mobile. With STAR Mobile, employees pre-clear activity and report transactions on-the-go. Supervisors review escalated requests anywhere there’s a cell connection.

Create unlimited projects to easily manage and monitor dynamic lists of employees who have access to insider information.

Compliance Control Room's enterprise-level single platform centralizes all your firm's deal-related activity—letting you manage control room activities more efficiently and effectively.

Increase employee participation. Increase data accuracy. Increase responsiveness. STAR Mobile is a native app that makes compliance simple, easy, and convenient.

Automatically monitor employee state, local, and federal political contributions and reduce the risk associated with breaking pay-to-play laws. 

 

Training & Competency

Training & Competency That Builds Trust & Certainty

The expansion of training and competency regulation across market sectors means firms must have clear systems, processes and controls in place to achieve sustained competency management. This ensures all employees maintain the level of competence required to deliver optimal customer outcomes.

The Star Training & Competency (T&C) solution provides the tools you need for developing your most valuable asset – your staff – and certainty in meeting your training and competency obligations.


By enabling you to embed an evidential system of training and competency across your business, Star T&C allows you to drive firm-wide professionalism, support a culture of compliance and protect your firm’s reputation. It will also deliver better results for your customers – strengthening their trust in your business.

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Complete overview of competency-related activities

 
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Innovative robust and flexible systems, controls and processes

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Consistent assessment and maintenance of training and competency needs

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How Does Star T&C Help?

With Star T&C, you gain powerful process management, record keeping, and employee oversight capabilities to ensure your organization’s systems and controls fully support the management of competency and professionalism. Star T&C also delivers a single view of competency for the certification requirements of the SMCR regime.

Complete T&C support to all roles, including consistent route to competence and continuous tracking of competency, bespoke assessments and precise record keeping  
Track performance against business standards such as KPIs and display ‘RAG’ (red, amber, green) dashboard management of key controls  
Provide online competency testing management to support specific testing regimes  
License framework prevents unauthorized sales and supports career development  
Integrates with existing Learning Management Systems, E-learning and testing materials  
Manage and track the required activity to attain a ‘Statement of Professional Standing’ (SPS)  

Schedule training and manage bookings

Fully support Continual Professional Development (CPD) 

Quality & Certainty for Your People & Processes

Star T&C gives you the ability to monitor and improve the quality of your people and processes, confirm that fair customer outcomes have been delivered, and gain effective oversight of business quality benchmarks.  

  • Deliver people-specific KPIs and business-defined ‘RAG’ (red, amber, green) rated risk assessments  
  • Integrate with existing systems and data for a single picture of your people’s performance, compliance, risk, conduct and competency  
  • Provide comprehensive, risk-based quality and case checking  
  • Manage and report on complaints 
  • Support existing business processes with generic case management

 

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