Orion Compliance Onboarding Questionnaire

Welcome to Orion Compliance Onboarding! Below is a list of offerings you now have access to. Please complete this survey as soon as possible so we can customize your onboarding experience. Thank you!
Contact Information
Introductory Questions
Do you already use Orion Compliance/BasisCode Compliance?
Do you currently use another compliance platform?
Do you plan on using Orion Compliance?
Services available to you
Please utilize the comments section at the end of the survey to give us additional information if needed

 
Personal Trading & Trade Tests
Pre-clearance, trade policies and trade attestations for employees accounts
 
Certifications/Testing
Attestations/questionnaire and compliance tasks
Client Oversight
Risk monitoring on client accounts
Forms and Whistleblower
Forms allow employees to submit items for approval to compliance at any time. Whistleblower is an incident reporting tool
Onboarding
Ability to package up and deliver new hire documents to an employee
Outside Business Activity
Ability for employee to disclose and seek approval of an outside business activity
GEM
Users can disclose gifts and entertainment, compliance can enforce limits
Risk Assessment
Ability to identify, weight and add procedures to mitigate firms risks
Insider Trading
Ability to monitor client and/or firm trades against the market to identify trading of non-public material information
Would you like to schedule an hour long Q&A?
Your Onboarder will be reaching out to schedule the call