Take control of your compliance program in one unified, secure solution encompassing three powerful, integrated tools designed to safeguard every angle.
Automate key processes and create a centralized workspace where your team can tackle compliance together from all sides. Organize and store your data, educate your colleagues, and ensure adherence to policies and procedures with centralized and secure regulatory compliance software you can access any time, anywhere.
Ensure your team maintains the highest fiduciary standards with our Code of Ethics solution. Automate approvals and scan for potential violations.
Run audits, configure reports, and record all compliance activities in a centralized dashboard.
Receive automatic alerts for mutual fund share class fees, 13D/G and 13H events, and monitor continuously without the manual work.
See What Orion Compliance Can Do
Always-on tech to build and maintain a solid compliance program.
Automatic Data Aggregation
Develop a complete paper trail of relevant firm, employee, and client data.
Team Training and Assessment
Test your colleagues on the latest policies and procedures.
Centralized Document Library
Never misplace critical documentation again in our shared library.
Secure Access From Anywhere
Work from the couch or the road and maintain the highest level of digital security.
Seamless Internal Auditing and Reporting
Pull reports and test yourselves before the regulators do.
Share Calendar, Policies, and Procedures
Keep an eye on your team’s filing and other compliance requirements.
Total amount of fines levied by the SEC in 2022 against non-compliant firms.1
Sum of compliance fines imposed by FINRA in 2021.2
Free Resource: Whitepaper
Customized and Compliant: How Top Advisors Rely on Automated Alerts and Oversight
Advances in technology have changed compliance, making it more manageable and less stressful. Compliance software packages and a host of automated alerts and trackers are making it easier for firms of all sizes to take responsibility for their own compliance needs.
In this whitepaper, we’ll show you how leveraging a client-centric regtech solution can help you simplify the execution of your compliance programs. You’ll learn how you can:
Run a more efficient operation
Reduce the risk of costly mistakes, manual processes and oversights