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Assessment Summary

Based on your responses, your firm falls into the Proactively Managed Compliance category. You’ve established the foundation—but true readiness means continuous adaptation. 

 

The SEC is raising the bar. Is your firm keeping pace?

Why Even Strong Programs Need Support:

  • Evolving Expectations: Staying audit-ready means anticipating—not reacting to—regulatory changes.
  • Operational Efficiency: Manual processes are resource-intensive and increase the risk of errors.
  • Audit Preparation: When documentation lives in multiple systems, your exam readiness suffers.

How Orion Compliance Keeps You Future-Ready:

✅ Centralize oversight across your firm with automated trade monitoring and recordkeeping
✅ Stay ahead of regulatory shifts with access to our network of Compliance Consultant partners
✅ Automate critical tasks, from attestations to SEC Marketing Rule adherence

What’s Next

Get a Compliance Consultation

Explore how Orion Compliance helps forward-thinking firms optimize their workflows and maintain long-term exam readiness.

Stay Ahead

This website is intended for investment professionals only. It is not intended for use by private investors. 
Wealth Management services offered through Orion Portfolio Solutions, LLC d/b/a Brinker Capital Investments, a registered investment advisor.