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Orion Compliance Plans

Flexible, scalable tech to build and maintain a solid
compliance program.

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Orion Compliance

Design the Right Compliance Solution For You

Every firm is different. Orion Compliance offers three distinct solutions you can use to build the always-on compliance solution that’s best for you. Use Orion Compliance products on their own or as part of Orion Stacks.

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.

Standard features:

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 meetings, on-screen, video)
APIs/Single sign-on
Mobile app

Optional add-ons:

WORM storage
Hosted private environment

Request a Demo

Firm Oversight

Empower your entire team to get involved. With our intuitive dashboard and login, your team always knows what’s needed from them, when, and how to complete it.

Standard features:

Calendar
Library
Reports
Regulatory news
ADV dashboard*
Supervision queries*

Compliance management:

Testing
Certifications
Forms studio
Onboarding
Governance and audit
Whistleblower
Insider trading
Filer

EDGAR reporting:

13F*

Service:

Onboarding
SME support
Training (web meetings, on-screen, video)
APIs/Single sign-on
Mobile app

Optional add-ons:

WORM storage
Hosted private environment

Request a Demo

Client Oversight

Get automatic alerts for SCSD, 13D/13G and 13H triggering events, address them quickly and produce an audit trail.

Standard features:

Calendar
Library
Reports
Regulatory news
ADV dashboard*
Supervision queries*

Client Oversight:

SCSD alerts
13D/13G/13H monitoring
Track client risk drift ranges
Pre- and post-trade compliance

Portfolio Oversight

Drift alerts (powered by Orion Risk Intelligence)
Portfolio monitoring (Trade Activity, Cash Exposure, Suitability, Objective Misalignment)
Risk monitoring (powered by Orion Risk Intelligence)

EDGAR reporting:

13D/13G/13H
13F*

Portfolio Management:

Share class checker
Pre-trade compliance (through Orion Trading)

Service:

Onboarding
SME support
Training (web meetings, on-screen, video)
APIs/Single sign-on
Mobile app

Optional add-ons:

WORM storage
Hosted private environment

Request a Demo

What You Need to Know

Frequently Asked Questions

Orion Compliance expands compliance oversight and management capabilities, allowing compliance professionals full control over all aspects of their programs. Orion Compliance incorporates support for employee oversight, firm oversight, and client oversight.

The software’s rule-based engine allows compliance professionals to automate time-consuming compliance tasks, and the centralized library makes it easy to find and produce an audit trail.

Orion Compliance is a flexible and scalable solution, with three distinct offerings (Employee Oversight, Firm Oversight, and Client Oversight) you can combine to build the RegTech solution that’s right for your firm.

Orion does not offer compliance consulting services, but we have a network of trusted compliance consultants and law firms that have partnered with Orion Compliance.

Orion integrates all technology into a single platform, creating one source of truth.

Orion Compliance was built by compliance professionals who know firsthand the struggles CCOs face. The platform automates many key compliance tasks, makes reporting and filing simple, and offers secure access from anywhere with its mobile app.

Dozens of integrations with other Orion tech solutions reduce rote work and room for human error. Brokerage feeds are also automatically pulled in, eliminating manual monitoring.

Introducing Orion Stacks

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

57% of advisors cite a lack of integration between their core applications as their biggest technology pain point.¹ Orion Stacks is the newest way for you to seamlessly connect all the tools you need to propel productivity, delight your clients, and grow your firm.

Learn More