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.
Employee Oversight
Standard
- Calendar
- Library
- Reports
- Regulatory News
- ADV Dashboard*
- Supervision Queries*
Code of Ethics
- Personal Trading
- Gifts and Entertainment
- Outside Business Activity
- Direct Employee Brokerage Connections
EDGAR Reporting
- 13f*
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
Standard
- Calendar
- Library
- Reports
- Regulatory News
- ADV Dashboard*
- Supervision Queries*
Compliance Management
- Testing
- Certfications
- Forms Studio
- Onboarding
- Governance and Audit
- Whistleblower
- Insider Trading
- Risk Monitoring (Powered by Orion Risk)
EDGAR Reporting
- 13f*
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 (coming soon)
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Ready to Get Started?
Contact us to request a demo or get your personalized quote.
Compliance Code: 1 4 5 3, Orion Advisor Technology, August 12, 2022
1453-OAT-8/12/2022