Flexible, scalable tech to build and maintain a solid
compliance program.
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.
Feature | Available Standalone | Available to Add on to Orion Essentials or Foundation | Included with Advantage Stack |
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Orion Compliance Employee and Firm Oversight Features | |||
Personal Trading | |||
Certifications (Certs) | |||
Testing | |||
Forms | |||
Insider | |||
Outside Business Activities | |||
Risk Assessment | |||
Gifts & Entertainment (GEM) | |||
Onboard | |||
Whistleblower | |||
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Pricing for Employee and Firm Oversight | $8,500.00 /year1 Up to 10 users2 Add users for $200/user/year | $8,500 / year1 Up to ten 10 users2 Add users for $200/user/year | Included with unlimited users1 |
Client Oversight Features | |||
Post-Trade Compliance of Client Activity (Supervision) | |||
Drift | Not available without Orion Risk Intelligence | 4 | |
Pre-Trade Compliance | Not available without Eclipse | (requires Eclipse) | |
Share Class | Not available without Orion Risk Intelligence | 4 | |
Ownership and Large Trader | Not available without Orion Risk Intelligence | 4 | |
ADV, AUA, 13F Overviews | Not available without Portfolio Accounting | ||
Pricing for Client Oversight | $10,000 / year1 + $5.00 per account3 Up to 10 users2 Add users for $200/user/year | $12,000/ year1 Up to ten 10 users2 $200/user/year | Included with unlimited users1 |
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.
57% of advisors, identify integration gaps between their core applications as their top technology challenge.1 Orion Stacks offers a cutting-edge solution designed to effortlessly integrate all essential tools. Discover unparalleled flexibility: whether you prefer Orion Stacks or standalone options, including Compliance services. Tailor your experience to fit your business needs with ease, catering to businesses of all sizes.
Ready for round-the-clock compliance? Let us show you how Orion Compliance can support your team, day and night.
1Source: https://digitaledition.investmentnews.com/articles/the-trouble-with-tech-integration
Compliance Code: 2 6 9 0 Orion Advisor Solutions October 21 2024
2690-OAS-10/21/2024