Strengthen Your Compliance Muscle

Discover more by clicking on the outlined muscles to dive into how Compliance Employee Oversight reinforces your firm’s processes and safeguards your organization. 

With Orion’s Employee Oversight, you can: 

  • Monitor employee trades in real-time to catch issues before they become problems.
  • Address potential violations with automated alerts and notifications.
  • Support compliance with SEC regulations, protecting your firm from costly penalties. 

Compliance starts with your employees. Strengthen your foundation with a robust employee oversight system. 

Personal Trading

Monitor employee trading activity to help mitigate risks and align with SEC regulations.

Certifications

Keep employees up-to-date with required certifications and streamline tracking.

Forms

Simplify submission and review processes with customizable compliance forms.

Outside Business Activities

Centralize management of outside business activities to reduce conflicts of interest.

Gifts & Entertainment

Track and manage gifts and entertainment disclosures to maintain transparency.

Whistleblower

Support employees in reporting issues confidentially with whistleblower functionality.

Ready to flex your compliance muscle?

Request a personalized demo and see how Employee Oversight strengthens your firm's foundation.

Request a Demo

This website is intended for investment professionals only. It is not intended for use by private investors. 
Wealth Management services offered through Orion Portfolio Solutions, LLC d/b/a Brinker Capital Investments, a registered investment advisor.