STARCOMPLIANCE, LLC
ROCKVILLE, MD

StarCompliance is 100% dedicated to providing advanced conflict of interest mitigation systems to major firms and financial institutions. No-one has more experience or expertise in this specialist area. Today, our software is used by hundreds of thousands of employees at firms around the world. StarCompliance is a leading provider of compliance and regulatory solutions for financial services and enterprise firms. We provide compliance software with a focus on global regulations including, SEC, FINRA, FCPA, FCA, UK Bribery Act, and MiFID. Our solutions provide a fully configurable platform that manages the complex and burdensome processes associated with managing regulatory compliance, connecting all areas of your business and providing a 360-degree view of employee activity and behavior. The story of StarCompliance Founded in 1999, StarCompliance was established to address the pressing need for intelligent compliance management solutions for large financial services institutions. The raft of global regulations and the complexity involved in managing potential conflicts of interest and market abuses in a workforce of thousands, spread across multiple locations, meant that compliance teams needed help to safeguard the reputation and integrity of their organizations while remaining efficient. The STAR platform developed by StarCompliance directly addressed this need, giving compliance teams a time and resource-saving way to deliver robust compliance-management programs that fulfilled the requirements of all regulations. Our team of expert developers, analysts and R&D specialists now work tirelessly to continuously enhance and improve our product, as new threats and regulations emerge, ensuring the software adapts constantly to the ever-changing regulatory landscape. We provide our clients with an integrated and streamlined compliance process for managing, preventing, detecting, reporting and resolving employee conflicts of interest and market abuses through a single, user-friendly application. Our software is backed by our best-in-class client services team, which offers full support, from product implementation and training to every-day product and technical support. StarCompliance has dual-headquarters in the United Kingdom and the United States. In 2017, StarCompliance joined the Luminate portfolio of market-leading SaaS companies. The investment by Luminate recognized our market leadership, the ingenuity of our products and our growth potential. For clients, it means even greater investment in product development, infrastructure, processes and controls to improve our solutions and ensure we provide the most trusted and reliable compliance software in the market. Marc joined StarCompliance in March 2002 and is responsible for the strategic direction, financial management and operation of the company. Prior to joining StarCompliance, Marc was a senior executive with Xpedite in the UK, where he led revenue growth from zero to $30 million in annual sales and led the sale of the company for $85 million. Marc received a BBA in International Business from The George Washington University. Matt leads the global sales, marketing and relationship management organizations. Since 2009, he has built formal infrastructure, processes and methods to maximize team and individual performance. Matt has more than 20 years’ experience in enterprise software, successfully building and leading highly productive sales, marketing, client services and product management teams. Prior to joining StarCompliance, Matt co-founded SphereBuilder, an enterprise SaaS company that was sold to an industry-leading relocation company. Matt holds a BA degree in Economics from the University of California, San Diego. Sunil joined StarCompliance in June 2014 as CTO and brings extensive experience of the financial technology sector, including compliance. He has delivered high-quality enterprise business solutions to leading global financial firms and has held senior technology and product positions at blue-chip companies like Thomson Reuters & NICE Actimize, as well as at smaller start-up companies. Sunil is an IEE Certified Chartered Engineer (CEng) specializing in Software Management, Design and Development and holds an MEng degree from Surrey University in Electrical and Electronic Engineering. Director, Product Management Tim is an experienced enterprise software professional who has spent the majority of his career in the financial services industry in the area of compliance, and in particular employee conflicts of interest. As a Director of Product Management, Tim helps our current and prospective clients to realize the power of the StarCompliance software and imagine the future. Tim has lived and worked in Australia, Singapore, France, the UK and US and holds a BEng from Nottingham University in Electrical and Electronic Engineering. Dale joined StarCompliance in January 2006 as an undergraduate software developer; he now focuses on managing the Technical Services, Infrastructure and North American Professional Services teams. After successfully demonstrating his technical expertise as a senior software developer, Dale spearheaded the formation of the Technical Services team in 2011. The Infrastructure team began reporting to Dale in 2014. Well-versed in our clients’ technical and business needs, Dale became the North American Professional Services Manager in 2016. He holds a BSc degree from Newcastle University in Computing Science. Federico joined StarCompliance in the UK in October 2014 to lead the Professional Services team. He has 20 years of international experience in technology and consulting, and gained his knowledge of regulatory compliance at NICE Actimize, where he delivered multi-million pound anti-money-laundering and fraud-detection solutions to top-tier retail banking institutions. He and his team have secured the successful onboarding of client firms in StarCompliance’s largest growth period to date. Will Haggerty is Star Compliance’s Director of Relationship Management reporting to the Chief Revenue Officer Matt McGill. Will is responsible for leading the relationship management and client services teams. In this role he serves as the chief advocate for our clients, collaborating with them on strategic initiatives and product enhancements as well as ensuring successful day to day operations. Prior to joining Star Compliance, Will was with Wells Fargo for over 10 years where most recently he lead the Code of Ethics team for an Investment Advisor and Fund Company. In this role he was responsible for conflicts of interest monitoring and regulatory reporting as well as system administration and team member training.