Employee Monitoring & Surveillance Compliance Software

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StarCompliances’ Regulatory Compliance Software solution offers a highly configurable single web-based application which leverages the expertise and experience built up over 13 year's immersion in the financial regulatory compliance domain. Our compliance software solution can be quickly deployed and implemented allowing you to enforce your Code of Ethics and monitor employee activities to detect and prevent employee conflicts of interest across the full range of regulatory compliance interests and concerns.

Key Features

§  StarCompliance was founded in 2000 therefore have in excess of 13 years in this space. We have many years’ experience in the regulatory compliance domain combined with consultations from legal experts who specialize in FCA, SEC, FINRA, UK Bribery, Mifid and so on

§  We specialise in employee monitoring and surveillance and include, but not limited to Personal Account Dealing, Gifts & Entertainment and Insider Trading Monitoring as part of the suite of products. As we specialise and are not “Jack of All Trades” we add significant value to this area

§  We are consistently profitable and privately owned, this means we are not dictated to by VC’s or Institutional Investors. In addition, we have no interest in selling our company. Over the past 13 years we have seen several competitors that we have considered to be worthy rivals, sell to larger more diverse software companies. These companies are no longer a threat to us as the smaller company loses the passion that the original owners had, plus they simply become part of an overall bigger offering meaning the new owners simply don’t concentrate on developing and improving the products

§  Over 30% of our employees are based in a our research and development office in York, England. StarCompliance is constantly striving to lead the market by looking at ways to further enhance the solution to help our 50+ top tier clients

§  Along with listening to our clients regarding development of the product, StarCompliance is heavily focused on client support. We have dedicated support teams in the UK as well as the US. Some of our clients have been with us for over 10 years which clearly illustrates “Happy Clients” and our willingness to continually reinvest in the product.

§  Our solution is completely configurable versus customizable, we do not ask our clients to change the way they work, we configure to suit how our clients work to offer an extremely flexible and feature rich solution

§  The solution is truly global. 60% of our current clients have offices in several global regions including UK, US, Asia Pac etc. Our sophisticated rules engine and work flow means that the system can be tailored to different global regions, time zones, separate offices within regions, by employee roles, even by business divisions such as investment banking, private wealth, asset management and so on

Key Benefits

Mange all global employee monitoring from a single and/or multiple points

Virtually eliminate both regulatory and reputational risk relating to insider trader and other employee conflicts of interest

Dramatically reduce costs and the burden associated with monitoring employee monitoring and surveillance

24/7 Global support offered Globally

Local office in both US and UK

Completely configurable solution to meet all companies requirements inc. but limited to manage different global regions, time zones, employee roles, different business units etc

Product/Service details

User Suitability (Capital Markets & Investment)
Asset Managers, Asset Managers, Brokers, Brokers, Capital Markets (Trading), Capital Markets (Trading), Wealth Managers, Wealth Managers
Geographic Availability
Africa, Africa, Asia-Pacific, Asia-Pacific, Europe, Europe, Latin America, Latin America, Middle East, Middle East, North America, North America
Asset Class Coverage
Bonds, Bonds, Commodities & Energy, Commodities & Energy, Equities, Equities, Foreign Exchange (FX), Foreign Exchange (FX), Funds, Funds, Futures, Options and other Derivatives, Futures, Options and other Derivatives, Money Markets, Money Markets, Structured Products, Structured Products