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Let’s Bridge the Gaps Before the SEC Finds Them

Your compliance program covers the basics, but unaddressed weaknesses can still lead to findings.

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Assessment Summary

Your firm falls into the Compliance Gaps Identified category. The groundwork is in place, but cracks are showing—particularly in documentation, oversight, and internal controls. These are exactly the types of issues that trigger SEC scrutiny.

Key Gaps to Address

⚠️ Incomplete or non-centralized Books & Records
⚠️ Manual employee trade monitoring and Code of Ethics processes
⚠️ Lack of structure in your annual compliance reviews

Why Now Matters:
Firms that delay remediation are more likely to face exam findings, enforcement actions, or reputational risk.

How Orion Compliance Supports Remediation

✅ Automate oversight with tools that ensure all data is audit-ready
✅ Monitor and address risks before they escalate
✅ Partner with Compliance Consultants to update policies and create defensible practices

What’s Next

Get a Compliance Consultation

Let’s close the gaps before the regulators step in.

Improve Your Readiness

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Wealth Management services offered through Orion Portfolio Solutions, LLC d/b/a Brinker Capital Investments, a registered investment advisor.