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Orion Compliance Meets You Where You Are

Our industry-leading technology is flexible and scalable.

Design the Audit-Ready Compliance Program You Need

From Code of Ethics to reporting and certifications, we have a solution to support you

Every firm is different. Orion Compliance is tailorable to meet your specific compliance requirements. Use Orion Compliance products as a standalone solution or as part of the Orion Tech stack.

Product Offerings


Employee Oversight

Monitor and capture employee activities like never before. Flag risks fast and create and store records so you’re always ready for a document request.

Firm Oversight

Empower your entire team to get involved. With the intuitive dashboard and login, your team is always informed about what’s needed from them, when, and how to complete it.

Client Oversight

Coming soon.

Achieve client-focused compliance and risk mitigation.

This section contains a comparison between 2 Orion Compliance plans: Employee Oversight and Firm Oversight. The Employee Oversight plan includes the following feature packages: Standard, Code of Ethics, E.D.G.A.R Reporting, Service, and Optional Add-Ons. The Firm Oversight plan includes the following feature packages: Standard, Compliance Management, E.D.G.A.R Reporting, Service, and optional Add-Ons. For mor information and specific details about these plans, including options to bundle 2 or more plans together, please call Sales at (402) 496-3513.

Employee Oversight plan

Standard

  • Calendar
  • Library
  • Reports
  • Regulatory News
  • ADV Dashboard* This feature is only available to Orion Advisor Technology firms.
  • Supervision Queries* This feature is only available to Orion Advisor Technology firms.

Code of Ethics

  • Personal Trading
  • Gifts and Entertainment
  • Outside Business Activity
  • Direct Employee Brokerage Connections

EDGAR Reporting

  • 13f* This feature is only available to Orion Advisor Technology firms.

Service

  • Onboarding
  • SME Support
  • Training (Web Meeting, Onscreen, and Videos)
  • APIs/Single Sign-On
  • Mobile Apps

Optional Add-On

  • WORM Storage
  • Hosted Private Environment

Bundles

Bundle any 2 or 3 packages for a discount

Firm Oversight plan

Standard

  • Calendar
  • Library
  • Reports
  • Regulatory News
  • ADV Dashboard* This feature is only available to Orion Advisor Technology firms.
  • Supervision Queries* This feature is only available to Orion Advisor Technology firms.

Compliance Management

  • Testing
  • Certfications
  • Forms Studio
  • Onboarding
  • Governance and Audit
  • Whistleblower
  • Insider Trading
  • Risk Monitoring (Powered by Orion Risk Intelligence)

EDGAR Reporting

  • 13f* This feature is only available to Orion Advisor Technology firms.

Service

  • Onboarding
  • SME Support
  • Training (Web Meeting, Onscreen, and Videos)
  • APIs/Single Sign-On
  • Mobile Apps

Optional Add-On

  • WORM Storage
  • Hosted Private Environment

Bundles

Bundle any 2 or 3 packages for a discount

Client Oversight plan (coming soon)

Current Orion Technology Clients receive a 22% discount on Employee Oversight and Firm Oversight!

Ready to Get Started?

Contact us to request a demo or get your personalized quote.

Request a Demo of Orion Compliance  

Compliance Code: 1 4 5 3, Orion Advisor Technology, August 12, 2022