Compliance Training & Competency Solution
Employee training that builds trust & certainty within your firm.
Training & Competency That Builds Trust & Certainty
Star’s Compliance Training & Competency (T&C) solution provides the tools you need for developing your most valuable asset – your staff. Drive firm-wide professionalism, support a culture of compliance, protect your firm’s reputation, and deliver better results for your customers – strengthening their trust in your business. Drive a culture of compliance by:
- Complete overview of competency-related activities
- Innovative robust and flexible systems, controls and processes
- Consistent assessment and maintenance of training and competency needs
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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.
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 Individual Accountability Regimes.
- 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
Employee Conflicts of Interest
Protect your employees and reduce risk with a suite of solutions designed to address a range of issues.
Ensure employee personal trading and investments comply with all regulatory requirements and company policies.
Comprehensive pre-clearance and post-trade monitoring across 130+ exchanges and 30+ blockchains.
Simplify the declaration of employee private investments with outside organizations.
Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery and corruption regulations.
Avoid regulatory compliance breaches arising from employee external business activities.
Safeguard your business from conflicts of interest arising from political alignments or associations among employees worldwide.
Actively manage employee trading in the context of current market activity and news events to protect your company’s reputation.
Incident & Policy Management
Streamline HR and compliance processes by providing employees with clear, accessible policies and a safe space to report incidents.
Provide employees with multiple methods for reporting concerns while streamlining incident collection, management, and resolution.
Support 65+ languages for ease of reporting, no matter where employees reside.
MNPI & Enterprise Conflicts
Centralize deal data and identify business and employee conflicts
Star’s Compliance Control Room lets you organize and manage your most important inside information data flows and conduct conflict searches with ease—all from a single platform.
Star provides a one-stop shop for managing MNPI, wall crossings, insider lists, restricted lists, and more. Interested in automation and time savings?
Around the globe, investment banks are using the STAR Platform to spot enterprise conflicts, manage wall crossings, monitor deal teams, and more. Interested in streamlining workflows and improving transparency?
Accountability & Competency
Comply with global accountability regimes by fortifying employee accountability, training, and competency.
Strengthen your employees’ individual accountability and effectively demonstrate compliance to regulators, all with complete traceability.
Develop a culture of compliance, drive firm-wide adoption, and protect your firm’s reputation with a solution that builds trust and certainty.
License & Registration
Take advantage of centralized monitoring and easy integration with FINRA and other regulators.
Manage your License and Registration workflows with confidence
Compliance Teams
Providing a single, user-friendly system to monitor and manage employee activity and behavior.
Human Resources
Empowering executives, HR representatives, and compliance managers to uphold best practices and mitigate risk.
Technology Teams
Supporting IT teams with easy implementation and seamless migration.
