Add Client Oversight to your compliance system

With Orion’s Client Oversight, you can: 

  • Monitor client communications in real-time for potential compliance risks.
  • Receive alerts about red flags in interactions, enabling you to act quickly.
  • Protect your clients and your firm by staying ahead of regulatory requirements.

 

Stay alert to potential risks and safeguard client relationships with comprehensive oversight.  

Hover over the black dots to learn more about Firm Oversight System

Ownership (13D/G) and Large Trader (13H)

Extends your firm’s reach, catching and handling critical regulatory requirements like 13D/G and 13H filings to maintain compliance.

Text not supported

Client Data Integration and Drill-Down

The core of the system, supporting and connecting all functions. Client Oversight’s ability to sync or import client data from Orion Connect creates a strong foundation, enabling deep visibility into accounts and transactions while supporting efficient data export for analysis and reporting.

Text not supported

Pre-Trade Compliance

Operates in real-time with precision, much like hands perform tasks requiring fine motor skills, ensuring compliance on client orders with exacting accuracy.

Text not supported

Share Class

Provides foundational support and mobility, enabling efficient identification of potential improvements (like lower-cost share classes) and driving forward progress.

Text not supported

ADV/AUA/13F Overviews

Grounds your firm with stability, offering key metrics and insights that support the entire compliance framework and keep the firm moving in the right direction.*

Text not supported

Portfolio Drift

Acts as the central communication hub, detecting when portfolios drift out of range and sending signals to reps to take immediate corrective action.

Text not supported

Post-Trade Compliance

Like the brain, it provides high-level oversight and decision-making, constantly monitoring activity and analyzing data to ensure everything runs smoothly.

Text not supported

Stay sharp with the reflexes of a well-tuned nervous system.

Request a demo to see how Client Oversight keeps your firm alert and responsive to potential risks.
Request a Demo
*Please note that if you have the Client Oversight module, you will be able to enable the ADV/AUA/13F Overview. However, if you do not have the Client Oversight module, these items cannot currently be enabled.

This website is intended for investment professionals only. It is not intended for use by private investors. 
Wealth management services provided by Orion Portfolio Solutions, LLC (“OPS”), a registered investment advisor. Orion OCIO services provided by TownSquare Capital, LLC (“TSC”), a registered investment advisor. OPS and TSC are affiliates and wholly owned subsidiaries of Orion Advisor Solutions, Inc.