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.
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.
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 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.