You Can Now Add “Award-Winning” to the Orion Compliance App

We are excited to announce that Orion has been named the best “Compliance” solution at the 6th Family Wealth Report Awards 2019, held in New York on March 19.

Created to showcase ‘best of breed’ providers in the global private banking, wealth management and trusted advisor communities, the Family Wealth Report Awards were designed to recognize companies, teams, and individuals which the prestigious panel of judges deemed to have “demonstrated innovation and excellence during 2018.”

And now, that list of innovative and excellent companies includes Orion.

The judges recognized the Orion Compliance app as having the ability to support “efficiency and speed” for the everyday needs of an advisory firm’s chief compliance officer, and also commented on the “comprehensive partner integration features”—including an integration to help screen clients against anti-money laundering lists.

View all the Family Wealth Report winners here.

A Turnkey Compliance Solution for All Advisors

If you aren’t yet familiar with Orion’s Compliance solutions, allow us to fill you in.

Orion’s compliance solution addresses common compliance challenges with features like:

  • A testing and exception reporting system that enables firms to perform continuous testing of policies and procedures in accordance with their requirements.
  • Ability to track regulatory production, conduct a mock audit, and verify compliance with necessary requirements in one location.
  • Automated employee trade activity monitoring to address personal securities trading obligations and complete front running reviews*.
  • Enhanced assistance for regulatory reporting with comprehensive dashboards for Forms ADV and 13F

But beyond the software capabilities you can find in the Compliance app, Orion also provides advisors with an expert compliance team for additional support.

Expert Help from Compliance Experts

That’s right—while some outsourced compliance software solutions only provide you tools to track your information, Orion also provides a complete Subject Matter Expert team for additional assistance.

You can now contact the Orion Compliance Team if you have questions about:

  • Setting up a database for SEC ADV filing
  • Running a 13F Report
  • Finding households by state
  • And much more!

Our Compliance Manager and Subject Matter Experts are ready to help when you need it.

Maintain an Effective Compliance Program with Ease

Through the tools available in Orion’s award-winning Compliance app, maintaining an effective and robust compliance program in your advisory firm can be simple.

Even amidst a complex regulatory environment where the expectations are always shifting, you can have confidence when you have the right technology supporting you.

For more information about how Orion supports your compliance needs, click here to download our new ebook for chief compliance officers on navigating the compliance landscape.

*available for an additional expense



About Kylee Beach
Kylee Beach is General Counsel of Orion Advisor Services, LLC.