Compliance Made Simple

Manage the many sides of your firm’s compliance program so you’re always ready when the regulators call. Automate key processes, create a shared source of truth for your team, maintain essential filings and records, and finally take back time in your day — in one end-to-end platform.

Orion Advisor working with client
Flexible Compliance Technology

RegTech to Keep Your Team on Track

Three tools. One ironclad solution. All the support (and peace of mind) your firm needs, when and where you need it. When it’s your turn to be audited, you’ll be ready.

Employee Oversight

Monitor and capture employee activities like never before. Flag risks fast and create and store records to enhance Code of Ethics compliance.

Firm Oversight

Automate key compliance processes, run audits and configure alerts, and keep a record of all compliance activities in one dashboard.

Client Oversight

Gain immediate insight into client holdings, identify potential regulatory violations, and create a sophisticated audit trail of remedies.

The Regulatory Environment Isn’t Getting Simpler

Cybersecurity, crypto, ESG, new marketing rules — there’s always something novel on the horizon. Learn what’s expected from firms today and how to navigate the current regulatory landscape with resources made to help.

Flexibility to Scale

For compliance consultants that need to automate processes, provide greater transparency and win back more face-time with clients. Orion Compliance makes it easy for you to start new client relationships, manage each firm’s unique needs and grow your business.

Orion Compliance for Consultants

One Streamlined Dashboard

Execute compliance requirements across multiple independent entities through one comprehensive, streamlined dashboard — without confusing or commingling your data.


Orion Compliance for Consultants

Personalize for Every Client

Push stock content from the consultant dashboard to the client firm dashboard to quickly demonstrate your value and start new client relationships off right. Customize on a client-by-client basis to provide each firm with the support they need — delivering value at scale.

Orion Compliance for Consultants

Simplify, Standardize, Grow

Create a standardized process for delivery and management of each client’s regulatory compliance program. Streamline day-to-day compliance processes so you can provide more individual support and expand your business.

#1 in Overall

Client Satisfaction

by Kitces

In the latest 2023 Kitces Report AdvisorTech Survey, Orion Compliance ranked first overall in client satisfaction of any provider from 2021 to 2023, and of the top five providers ranked first in value for clients as of 2023.1

Trusted by Our Compliance Partners

Meet the partners already improving client service while scaling their businesses.

Advisor Walking
Free Resource: Whitepaper

Customized and Compliant: Top Advisors Rely on Oversight

Advances in technology have changed compliance, making it more manageable and less stressful. Compliance software packages and a host of automated alerts and trackers are making it easier for firms of all sizes to take responsibility for their own compliance needs. 

In this whitepaper, we’ll show you how leveraging a client-centric regtech solution can help you simplify the execution of your compliance programs. You’ll learn how you can:

  • Run a more efficient operation
  • Reduce the risk of costly mistakes, manual processes and oversights
  • Stand above the competition
Orion Stacks
Introducing Orion Advantage

One Integrated UX. One Agreement. All the Power of Orion.

The Orion Advantage Stack is the newest way for you to seamlessly connect all the tools you need to propel productivity, delight your clients, and grow your firm.

With the Advantage Stack, you can prepare and protect your firm for ever-changing compliance regulations with advanced data aggregation and take advantage of pre- and post-trade compliance reporting so you’re always in the know.

Are You Exam-Ready?

Learn how Orion Compliance can get you there.

Request a Demo

Dig Deeper

Related Content

¹Source: The Technology That Independent Financial Advisors Actually Use And Like, The Kitces Report AdvisorTech Survey, 2023.


At certain places on our website we offer direct access or 'links' to other Internet websites. These sites contain information that has been created, published, maintained or otherwise posted by institutions or organizations independent of Orion. Orion does not endorse, approve, certify or control these websites and does not assume responsibility for the accuracy, completeness or timeliness of the information located there. Visitors to these websites should not use or rely on the information contained therein until consulting with their finance professional. Orion does not necessarily endorse or recommend any product or service described at these websites.

Compliance Code: 0 1 4 4, Orion Advisor Solutions, January 19, 2024