Compliance Risk is Growing
Is Your Firm Prepared?
Staying ahead of regulatory changes requires more than just manual processes and reactive policies. Orion Compliance provides an integrated, automated approach to oversight—giving you confidence that your firm is meeting SEC expectations while reducing risk and inefficiencies.
Explore How Orion Compliance Strengthens Oversight
Orion Compliance is designed to reduce regulatory risk and improve efficiency by automating key compliance functions. Our integrated solution simplifies oversight across three critical areas, ensuring your firm stays ahead of evolving regulations.
Employee Trade Monitoring
Employee Oversight simplifies compliance by centralizing trade monitoring, supervision, and reporting. With real-time data aggregation and automated workflows, your firm gains greater visibility into employee trading activity while reducing manual oversight.
Firm Oversight
Firm Oversight strengthens your firm’s compliance program by automating trade monitoring, identifying potential insider trading risks, and proactively assessing regulatory exposure. With integrated surveillance and streamlined approval workflows, you can mitigate risks before they become issues.
Client Oversight
Client Oversight syncs with your firm's Portfolio Accounting software to monitor trading, investment objectives, allocation, and real-time alerts.
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See Orion Compliance in Action
See how Orion Compliance fits into your firm’s compliance framework. Our team is ready to walk you through Orion Compliance and answer your questions.
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.
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