StarCompliance: The Reputation Guardians at Work

Jennifer Sun, CEO, StarComplianceJennifer Sun, CEO
“We consider ourselves reputation guardians with an unwavering commitment to making compliance simple and easy through the intelligent application of technology,” begins Jennifer Sun, the CEO at StarCompliance, shedding light on the mission statement of the company. With 20 years of extensive experience in financial services, Jennifer fluently speaks the language of risk and compliance in enterprise financial institutions. She continues to mention that most financial firms aim to consolidate multiple disparate systems while striving to optimize requests for information and provide the easiest method of access to employees. What aggravates the situation, she adds, is the continuous emergence of new regulations, especially in larger firms that span multiple jurisdictions. The sophistication of surveillance systems used by regulators and industry watchdogs makes it more likely for an issue to be detected by an external firm even before it’s diagnosed internally.

Well acquainted with the ins and outs of the industry and its setbacks, Jennifer succinctly puts into words what truly sets StarCompliance a notch above its industry peers. She notes, “Within the GRC space, Star is one of the very few providers laser-focused on employee compliance, providing our clients with the tools they need to ensure that compliance policies and programs are adopted at every employee level.” StarCompliance’s powerful compliance software allows firms to consolidate the collection and monitoring of employee compliance data all in one place, connecting all areas of the business while providing a 360-degree view of all employee activity and behavior.

StarCompliance’s global enterprise-grade platform is geared to the needs of regulated entities in financial services, monitoring all aspects of employee conflicts of interest including personal trading, private investments, gifts and entertainment, outside business activity, political contributions, and market abuse. By providing clients with intuitive software powered by a fully configurable rules engine, StarCompliance automates an organization’s unique code of ethics to streamline the employee compliance program, making it simple and easy for employees to comply. “The more sophisticated the technology, the simpler a compliance solution is to use, and thus more client employees are likely to adopt it,” emphasizes Jennifer.

The STAR platform streamlines the compliance process with four key functionalities. Pre-clearance allows employees to request approval for trades, the giving and receiving of gifts or entertainment, and other activities with real-time, automated approval or denial decision. Surveillance functionality surfaces events or activities that have already occurred and may require further investigation by the compliance team. Certifications and attestations allow employees to easily confirm receipt and understanding of policies, and to review and confirm the accuracy of the data and activities being reported within the system. Finally the reporting and management information (MI) suite provides an easy way to inform compliance leadership teams of activity and program effectiveness.
The highly flexible system also offers integration with multiple enterprise systems and external data sources to further support the compliance team and simplify the end-user experience. Compliance teams can cross-reference this data collected from employees with the rich market, expense, or trading data to help spot unusual activity or potential policy breaches. With StarCompliance’s powerful software, clients can consolidate compliance-related data and workflows on a single platform along with the ability to configure different rules, workflows, and certifications to meet different business, risk and regulatory requirements across the globe.

We consider ourselves reputation guardians with an unwavering commitment to making compliance simple and easy through the intelligent application of technology


One of the biggest advantages the STAR platform brings to the table is that it can scale to tens of thousands of employees with the ability to support multiple lines of business, geographic locations and diverse regulatory environments within a single deployment. Case in point: one of the largest asset managers in Boston is currently in the process of rolling out the STAR platform to 45,000 users across 50 different countries.

However, what truly makes StarCompliance stand out is the unparalleled intuitiveness of its platform and best-in-class client service; “We pride ourselves on the fact that our client’s end-users—employees—require minimum training, which is a testament to the ease of use of our platform,” remarks Jennifer. For those within the compliance department, StarCompliance provides unmatched client support backed by knowledgeable Star experts to help compliance teams get the most out of the STAR platform. Jennifer delineates an anecdote from the company’s EMEA user conference where, she says, “I was directly approached by multiple clients who complimented the EMEA client services team. One client told me she had ‘never experienced a team that provided such good support in her career; always willing to help, very patient and a lifesaver on multiple occasions’.”

The company’s uniqueness stems from their mission statement that is ingrained into the heart of the organization. Jennifer, as the newly appointed CEO at StarCompliance, consistently emphasizes the importance of ‘living’ the mission statement each and every day. Infusing the core values into the very essence of the organization, Jennifer successfully leads a dynamic team of industry experts. Not only that; as an exemplary leader, Jennifer passionately fosters a work culture steeped in motivation and organizational excellence. “I want to develop a company where employees not only want to come to work every day, but also reflect its values and culture in a way that our customers know who we are when they engage with us.”

Striding ahead, StarCompliance will bring forth more native mobile tools, new products, comprehensive APIs, and more to further simplify and automate employee compliance. The company is currently developing a mobile application and a product for the control room to help manage and track the flow of material and non-public information that surround specific events or projects within a firm. Jennifer concludes, “We will firmly hold onto the leadership position that we have earned in the industry, concentrating on keeping our core values at the forefront of everything we do, which makes us special in the eyes of our clients.”