The First Thing They’ll Ask For? Trade Data.

Regulators don’t ask if you can monitor employee activity.

They demand proof.

You’ve built a strong compliance program.

But when the request comes in — for trade data, attestations, or audit logs — strength alone won’t cut it. You need speed, accuracy, evidence.

And that’s where Orion comes in.

Get the Facts

What's at Stake?

⏱️ Time-Sensitive Requests

  • When the clock is ticking, scattered or missing data can slow you down — or worse, trigger scrutiny.

⚠️ Manual Oversight = Risk

  • Spreadsheets and human error leave blind spots that regulators won’t overlook.

📉 Audit-Readiness Gaps

  • Without centralized, automated oversight, audit confidence quickly crumbles.

What We Deliver

✅ Real-Time Trade Monitoring

  • Track employee trades in real time and receive alerts for potential violations.

✅ Code of Ethics Management

  • Centralize attestations, gift reporting, advertising reviews, and outside business activity tracking.

✅ Audit-Ready Reporting

  • Generate reports and maintain complete audit trails with ease.
Office workers in a shared space

Built for the Realities of Modern Compliance

Regulatory expectations are rising. The pressure is real. Orion’s Employee Oversight tools help you:

  • Protect client interests and uphold fiduciary duty
  • Minimize regulatory risk and reputational damage
  • Foster a culture of compliance
  • Safeguard firm assets from fraud and insider trading

See It in Action

Want to see how Orion can transform your compliance oversight?

Request a Custom Demo

Let us show you how our tools can fit your firm's unique needs — no commitment, just clarity.