A Complete Compliance Suite For Firm-Wide Oversight

Powered by your Orion data, our robust compliance capabilities enable you to face regulatory obligations head-on today and as you grow.

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Comprehensive In-House Compliance Suite

Consolidate Your Tech Stack

Simplify your tech stack with a compliance suite that fully integrates with your portfolio management technology.


Eliminate Outsourcing Costs

Gain more compliance capabilities with a core set of solutions included in the Orion platform at no extra charge.


Reduce the Risk of Data Breaches

Report on compliance data from one location, reducing risk from importing and exporting data across platforms.


Increase Your Confidence

Trust that your firm is not only better protected from potential regulatory violations, but also prepared to demonstrate compliance.

Stay On The Right Side Of Compliance

Audit Ready, All the Time

Have confidence to know you’re ready to respond to a regulatory audit or conduct your own mock audit to prepare in advance.

Build regularly scheduled supervisory reports and compliance queries to create a testing regimen that helps reduce risk.


Conduct routine audits to verify compliance with internal policies and processes to maintain confidence in the face of an audit.


Respond to requests from the SEC and state regulators quickly and accurately with reliable data and audit-ready reporting templates.

Next Level Firm Protection Made Easy

Prepare your firm for important and ever changing compliance regulations with advanced data aggregation, reporting, and screening capabilities.

Aggregate and view 13F filing reports and Form ADV reporting information on convenient dashboards.


Deliver reports to an SFTP location of your choice, enabling you to track and archive performance communications to comply with books and records requirements.


Screen clients automatically against anti-money laundering lists with an optional LexisNexis-integrated service.*


*Integration with LexisNexis required 

Stay Informed On Employee Trade Activity*

Satisfy your firm’s Code of Ethics obligations—or identify potential violations before someone else does—by seamlessly comparing employee trade activity against firm-wide trades.

Monitor employee trade activity with access to 1000+ custodians—allowing employees to remain at the custodian(s) of their choice.


Distribute affirmations and disclosures, and track approvals and rejections of gifts, outside business activities, and more.


Automate frontrunning reviews—a critical, but often expensive compliance function—to further protect your firm.


*Employee trade monitoring is available at an additional cost and as a standalone compliance tool.


of clients complete compliance tasks faster with Orion.

Tech Validate – TVID: EB6-EE5-CB0
“Orion understands the importance of monitoring data in real-time. That’s a huge help in my role as a Chief Compliance Officer.”
- Michael Sabre, CFO/CCO, Mount Yale

Works Well With:


Morningstar ByAllAccounts is a data platform providing connectivity to millions of financial accounts across thousands of institutions. Orion integrates with ByAllAccounts to provide expanded account aggregation services.


MarketCounsel is the leading business and regulatory compliance consulting firm to the country’s preeminent entrepreneurial investment advisors. Orion partners closely with MarketCounsel to deliver expert thought leadership on regulatory matters to our clients, particularly those interested in breaking away.

advice period

AdvicePeriod is an SEC-registered investment advisor dedicated to focusing clients on the important decisions necessary to manage their wealth. Orion partnered with AdvicePeriod on the development of our Employee Trade Monitoring tool, and we support advisors within their network as a provider of AdvicePeriod’s integrated technology.


Compliance 101

Learn how to navigate the increasingly complex regulatory landscape, and better protect and prepare for your firm with Orion’s compliance solutions.

Prepare Your Firm

Connect with our team to learn how Orion’s integrated compliance suite can help you streamline your firm’s oversight obligations.

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Compliance Code: 2 7 6 1 , Orion Advisor Technology, October, 29, 2021