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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.

Helping you to actively manage employee trading in the context of market activity and events to guard against insider trading.

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.

Mobile Compliance Apps: 4 Unexpected And Transformative Benefits

Mobile apps have the potential to make compliance easier for those who need to stay compliant as well as for those who need to enforce compliance

At first blush, the idea of a mobile application for financial compliance software might hardly seem transformative, or necessary at all. Conflicts-of-interest monitoring is about keeping tabs on the deskbound, right? Employees who want to make personal stock trades, hoping to get pre-cleared in the morning so they can log into their brokerage accounts over lunch and execute. Compliance officers roaming the halls, hounding those truants who haven't completed their annual certs after the umpteenth notification, or deskbound themselves sifting through data trying to deal with an escalation.

Of course, this picture is getting to be an increasingly out-of-date one. People are less and less deskbound when it comes to anything that involves computing in both their personal and professional lives, transformed by the handheld computers so many of us now carry, a.k.a., smartphones. And mobile apps now have the potential to transform compliance on both sides of the equation—those who need on-the-go access to stay compliant and those who need on-the-go access to monitor and enforce compliance. Following are four benefits of mobile compliance apps you may not have seen coming.

Pre-clearance is at the heart of any modern compliance program. That employee who wants to get pre-cleared in the morning so she can execute her trade at lunch? With an automated software solution she shouldn't have to wait at all. When your firm's compliance software was implemented, the code of ethics was tidily translated into software code, allowing for quick and decisive yes-or-no answers in most cases. A well-built mobile app gives employees access to this same automated decision-making system wherever there's a cell connection. Some mobile apps also offer on-the-go pre-clearing for other common types of employee activity that need to be monitored, like gifts and entertainment spending.

In 2018, 52.2% of all online traffic worldwide was conducted on mobile devices.1 It's a mobile world, and a mobile workforce calls for mobile solutions. Why? The more data a software system built to detect and monitor employee conflicts of interest has to work with—to crosscheck, cross-analyze, and cross-correlate—the better. It's not hard to imagine, with so much work being done on-the-go, that an employee off somewhere—in a car, hotel room, or out to dinner with a client—doing her company's bidding might legitimately forget to pre-clear important activity or log some critical bit of data that could come back to haunt the company or the employee. Mobile compliance apps help ensure this won't happen.

The other side of the mobile compliance app equation, opposite the employee out wining and dining a prospect or trying to execute a hot trade from Starbucks, is the on-the-move compliance officer trying to keep up with all of her work. A mobile compliance app can make all the difference. Supervisors can use them for the administrative and oversight functions vital to their jobs. When the compliance platform flags suspicious activity and escalates it, supervisors can review it like they were sitting at their desks. Good mobile software also gives full question-and-answer functionality and a history of previous reviews and reviewers.

The fourth and final benefit touches on several of the previously covered transformational aspects of mobile tech, but even as an amalgam the idea of the power of mobile apps to streamline and simplify compliance processes and operations overall is worth a separate mention. Thus, on the stay-compliant side of the equation, good mobile compliance capabilities don't just offer those firm employees out and about the ability to take action, it also offers them the ability to make assessments: allowing existing holdings to simply and easily be viewed, along with any important associated transactions the employee may have in motion.

On the enforcing-compliance side, mobile apps mean compliance officers can do more than just review escalated requests; they can also more easily and more consistently support their direct reports, by virtue of the fact they can carry out the most critical aspects of their job wherever they are. As such, there's far less waiting on a busy, out-of-office boss to get back to you on something important. And staying on top of high priority tasks in general should also be made easier if notification capabilities can be managed at the device level of your app. And if existing roles and access in your firm's compliance platform are also automatically observed, you may find yourself on the verge of a truly seamless and streamlined compliance experience.

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With half a million end users and clients in more than 50 countries, StarCompliance is truly a global leader in financial compliance software solutions. Our products guard against employee conflicts of interest, market abuse, and control room mishaps—in the process guarding against reputational damage to your firm. But seeing is believing. To see what Star can do for you, book a FREE demo now.





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