Summit - An Orion Company
Firm Oversight

Structure Comes First 

Examiners start with structure. This checklist helps you assess whether your policies,
ownership, and oversight are aligned,
documented, and provable.

Download the Checklist

Oversight in Focus 

Examiners want to see roles,
reviews,and responsibilities clearly mapped—and backed by systems that enforce them.

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 No Form Fill Needed 

Access the checklist instantly—no email, no delay.
Share it across compliance and advisor teams with ease.

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Audit-Ready Oversight Starts Here

Build a Supervisory Framework Examiners Can Follow and Trust 

A documented policy isn’t enough—examiners expect proof of execution.
Orion Compliance helps connect your firm’s oversight structure to your daily
operations with tech-enabled delegation, role-based visibility, real-time alerts,
and auditable workflows. Always be exam-ready with Orion.

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.