Structure Speaks First
in Every Exam
Firm Oversight
Structure Comes First
Examiners start with structure. This checklist helps you assess whether your policies,
ownership, and oversight are aligned,
documented, and provable.
Oversight in Focus
Examiners want to see roles,
reviews,and responsibilities clearly mapped—and backed by systems that enforce them.
No Form Fill Needed
Access the checklist instantly—no email, no delay.
Share it across compliance and advisor teams with ease.
Audit-Ready Oversight Starts Here
Build a Supervisory Framework Examiners Can Follow and Trust
A documented policy isn’t enough—examiners expect proof of execution.
Orion Compliance helps connect your firm’s oversight structure to your daily
operations with tech-enabled delegation, role-based visibility, real-time alerts,
and auditable workflows. Always be exam-ready with Orion.
