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*Features only available for Orion Tech Firms.
1Source: https://digitaledition.investmentnews.com/articles/the-trouble-with-tech-integration
1395-OAT-5/22/2023
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.
Standard features:
Code of Ethics:
EDGAR reporting:
Service:
Optional add-ons:
Standard features:
Compliance management:
EDGAR reporting:
Service:
Optional add-ons:
Standard features:
Client Oversight:
Portfolio Oversight
EDGAR reporting:
Portfolio Management:
Service:
Optional add-ons:
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 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.
Ready for round-the-clock compliance? Let us show you how Orion Compliance can support your team, day and night.
*Features only available for Orion Tech Firms.
1Source: https://digitaledition.investmentnews.com/articles/the-trouble-with-tech-integration
1395-OAT-5/22/2023