Keep Compliance Flowing Across Your Firm

With Orion’s Firm Oversight, you can:

  • Centralize compliance operations for firm-wide efficiency.
  • Consistently apply policies across all departments.
  • Simplify audits with a unified compliance platform.

Firm Oversight helps your compliance efforts stay consistent across your organization, maintaining a steady flow of regulatory readiness.

Hover over the green dots to learn more about Firm Oversight System

Centralized Controls

Centralize compliance operations to drive efficiency and accountability across your firm.

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Governance & Audit

Act as the central artery of your compliance program, delivering governance and audit oversight that ensures accountability and transparency throughout the organization. Audit trails provide critical insights for risk assessments, identifying areas for improvement and safeguarding your firm’s compliance.

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Testing

Conduct thorough compliance testing to identify and address gaps, ensuring regulatory alignment and operational integrity. This process also incorporates risk assessments, helping pinpoint vulnerabilities and mitigate risks before they impact your firm.

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Reports

Generate comprehensive reports for audits, regulatory reviews, and risk assessments that showcase how your compliance program manages risk. These reports play a critical role in demonstrating proactive risk mitigation and transparency.

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Calendar

Stay on schedule with a compliance calendar that captures governance milestones, deadlines, and reminders to meet audit and risk assessment requirements.

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Onboarding

Onboarding connects the flow of compliance knowledge to your employees, ensuring everyone is equipped with the tools and understanding they need from day one. A standardized process aligns new hires with governance policies, strengthening your firm’s commitment to compliance and risk management.

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APIs & Single Sign-On

Integrate effortlessly with your existing systems using APIs and SSO for unified compliance oversight, onboarding, and risk assessment processes.

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Ready to give your compliance a jolt?

Request a demo to discover how Firm Oversight can keep your firm’s operations flowing smoothly.

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.