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.

Feature

Available Standalone

Available to Add on to Orion Essentials or Foundation 

Included with Advantage Stack

Orion Compliance Employee and Firm Oversight Features 

Personal Trading checkmarkcheckmarkcheckmark
Certifications (Certs) checkmarkcheckmarkcheckmark
Testing checkmarkcheckmarkcheckmark
Forms checkmarkcheckmarkcheckmark
Insider checkmarkcheckmarkcheckmark
Outside Business Activities checkmarkcheckmarkcheckmark
Risk Assessment checkmarkcheckmarkcheckmark
Gifts & Entertainment (GEM) checkmarkcheckmarkcheckmark
Onboard checkmarkcheckmarkcheckmark
Whistleblowercheckmarkcheckmarkcheckmark
  • Governance & Audit (Campaigns)
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  • Filer
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  • Library
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  • Calendar
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  • Reports
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  • APIs
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  • Single Sign-On (SSO)
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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) checkmarkcheckmarkcheckmark
Drift Not available without Orion Risk Intelligencecheckmark

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Pre-Trade Compliance Not available without Eclipse checkmark

 (requires Eclipse)

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Share Class Not available without Orion Risk Intelligence checkmark

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Ownership and Large Trader Not available without Orion Risk Intelligence checkmark

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ADV, AUA, 13F Overviews Not available without Portfolio Accounting checkmarkcheckmark
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 
Add users for

$200/user/year 

Included with unlimited users1 
1 Should Company purchase both Employee & Firm Oversight and Supervision or Client Oversight, the Annual Price stated above for such products includes a total of one (1) database. Company may purchase additional databases at the rate of$2500 per additional database.
2Should Company purchase both Employee & Firm Oversight and Supervision or Client Oversight, the Annual Price stated above for such products includes a total of up to ten (10) users. Company may purchase additional users at the rate set forth above.
3 Accounts must be custodied at Schwab, Fidelity, or Pershing to be billed at the annual rate of $5.00 per account; all other custodial accounts from approved custodial sources will be billed at the annual rate of $8.00 per account. Accounts from other custodial sources will be billed at a rate to be agreed upon by the parties.
4 Client Oversight add on includes 1 Orion Risk Intelligence license. Additional licenses can be purchased.  
What You Need to Know

Frequently Asked Questions

Orion advisor working with client
What is Orion Compliance?

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.

Does Orion Compliance offer compliance consulting services?

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.

How does Compliance integrate with other Orion technology?

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

What makes Orion Compliance unique?

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.

Orion Stacks
The Solution That Scales

One integrated UX for every stage of growth.

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.

Compliance Software That
Never Sleeps

Ready for round-the-clock compliance? Let us show you how Orion Compliance can support your team, day and night.

Request a Demo

Dig Deeper

Related Content

 

1Source: https://digitaledition.investmentnews.com/articles/the-trouble-with-tech-integration

 

 

Compliance Code: 2 6 9 0 Orion Advisor Solutions October 21 2024