Welcome to Stellar IT Solutions

Stellar Consulting Services and RegTech Solutions

Stellar IT Solutions provides the expertise to assist your firm in managing its regulatory risks and identify gaps in existing frameworks. Our goal is to assist our clients to meet SEC/FINRA regulatory compliance obligations with respect to surveillance of trading activity, record retention, CAT compliance, trade surveillance/AML alert tracking, and training programs. Stellar’s solutions are designed to operate within an efficient cloud-based environment.

Data Management & Compliance

CatScanner is a data validation and reporting tool that scans a firm’s order and transaction data before submitting pursuant to CATNMS Rule 613.

  • User-friendly interface allows quick data upload
  • AI based data cleanup engine makes the upload process smoother and faster
  • Real-time customizable validation rules to detect inconsistencies in the data
  • Allows for data cleanup and fixes for repairs of errors and inconsistencies
  • Embedded data uploader to submit required data to CAT

Reporting & BI Dashboards

The Examiner tool performs advanced trade analytics. It provides an enterprise view through dashboards that enhance data insights and trend analysis.

  • Advanced data analysis of volume summaries and statistics
  • Custom reports supports reviews and investigations
  • Visualization tools for drilling into large data sets
  • API based integration automates inclusion of supporting data for cases and alerts
  • Executive management view of KPIs

Exploratory Tools

Investigator is a customizable tool that allows users to drill into the market data that generated alerts for Case Manager. It can work across multiple datasets to provide contextual information.

  • Ability to integrate with various news feed through contextual linking
  • Customizable market replay tools such as Depth of Market, Order Imbalance, and volatility charts
  • Sophisticated visualization that help analysts identify patterns and anomalies

Case & Activity Management

Stellar’s Case Manager tool is an electronic activity journal that tracks the lifecycle of alerts and cases. Our solution provides several benefits that include a centralized and integrated tool designed to improve efficiency, customizable KPIs, and the ability to triage various types of suspicious activity through one central system.

  • Visual and custom workflow for transparent case tracking
  • Automated attachment of contextual evidence support data from audit trail applications
  • Multi-level reviewer and approver for flexible supervision of case tracking
  • Automated scoring of alerts based on M/L models
  • API based integration with document management and analytic applications

Data Science and Analytics Platform

DSP is a data science and research platform that provides users with advanced analytic tools to run M/L notebooks for detecting various threat scenarios from a data driven approach.

  • Connect to centralized data management store to improve M/L models using various datasets
  • Visualize models to share with business users for faster validation
  • Integrated with other data science tools such as Dataiku, Domino, Databricks
  • Updated M/L libraries available for use in AI/ML models
  • MLOps with model registry & tracking, ML pipelines, and CI/CD

Surveillance & Fraud Detection Models

Stellar develops custom AI/ML based models that are explainable and more accurate than traditional out of box models.

  • Predictive models to detect anomalies
  • Models can adapt to change patterns without defining strict rules
  • Models can prioritize irregular behavior
  • Ranking system to identify high risk scenarios
  • Anomaly detection within structured and unstructured data
  • Detect characteristic “events” in a space of price/volume-derived features of market activity

Learning Management System

Stellar LMS is a training management tool that helps firms manage, organize, and deploy training programs across its enterprise. This tool creates an audit trail to ensure firms are meeting continuing education and regulatory training obligations.

  • User, company, and organization management
  • Courseware Management
  • Create curricula, resources and learning modules
  • Easy uploading of SCORM
  • Assignment of courses and tasks
  • Course evaluation and assessment
  • Defines permissions based on company, role, group, and individual users