Align compliance Training & Competency (T&C) efforts with a program for cultural improvement. Develop the competency of your people and focus on the right areas of business through risk-based oversight.
A complete overview of competency-related activities
Modern, robust and flexible systems, controls and processes
Consistent assessment and maintenance of training and competency needs
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Solution Benefits
Embed an evidential system of competence within your business, develop your staff, deliver better outcomes, and protect your reputation.
In addition, deliver 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’ 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 assurance
Monitor and improve the quality of people and processes, and provide effective oversight of key customer outcomes and business quality benchmarks.
Deliver people-specific KPIs and business-defined ‘RAG’ 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
Supporting clients in 89+ countries
No matter where your enterprise financial firm operates, Star software has you covered. Our solutions help the following firms meet their regulatory requirements laid out by the SEC, FINRA, FCA, and more.
