Chief Compliance Officers

Protect Your Firm and Minimize Regulatory Risk

Boost your compliance management program and stay exam-ready with one streamlined, flexible RegTech solution.

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Solutions for Chief Compliance Officers

Why Orion?

There's a reason the 2023 Kitces Report AdvisorTech Survey ranked Orion Compliance first overall in client satisfaction of any provider from 2021 to 2023.1

$4.95B

Total amount of fines levied by the SEC in 2023 against non-compliant firms.2

55

Total SEC rules in their final or proposed stages between October 2023 and April 2024.3

$88.9M

Sum of compliance fines imposed by FINRA in 2023.4

Get Exam Ready

Let’s work together to build an always-on solution that suits your firm.

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Orion Compliance

See What Orion Compliance Can Do

Always-on compliance management software to build and maintain a solid compliance program.

Compliance

Employee Oversight

Ensure your team maintains the highest fiduciary standards with our Code of Ethics solution. Automate approvals and scan for potential violations.

Firm Oversight

Run audits, configure reports, and record all compliance activities in a centralized dashboard.

Client Oversight

Receive automatic alerts for mutual fund share class fees, 13D/G and 13H events, and monitor continuously without the manual work.

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.

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Key Offering

Orion's Due Diligence Kit Brochure

Discover Orion's comprehensive suite of products and services with our Due Diligence Kit. Designed to empower advisors, our tech-enabled fiduciary process helps advisors seamlessly attract new clients, align planning goals with investment strategies, and achieve each investor's unique financial success.

With Orion, you can effortlessly connect all the tools needed to boost productivity, delight your clients, and grow your firm. Our Fiduciary Flywheel integrates these essential components, providing a tech-enabled approach that ensures you attract new clients, align planning goals with investment strategies, and achieve your clients' financial objectives.

Explore the breadth of Orion’s offerings and see how our solutions can help transform your advisory practice. Get your Due Diligence Kit today and start your journey toward greater efficiency and success.

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Exam Ready Guide
Key Resource

Are You Ready for the SEC?

The SEC can call your firm at any time. When that moment comes, will you be ready to extract and deliver evidence of your compliance swiftly? Or will you face panic, widespread failures, and repeated issues?

Don’t leave compliance to chance. Missing the mark during a regulatory exam can lead to hefty fines and a tarnished reputation. Why risk operating in the dark when you can be fully prepared?

Achieving exam readiness means your firm is always prepared to meet any regulatory request at any time. Our Guide to Being Exam-Ready outlines how to establish a dynamic, always-on compliance program that combines best-practice processes, rigorous testing, and dedicated resources.

Get Exam Ready

Are You Exam Ready?

Learn how Orion Compliance can get you there.

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1Source: The Technology That Independent Financial Advisors Actually Use And Like, The Kitces Report AdvisorTech Survey, 2023.
2Source: SEC Announces Enforcement Results for Fiscal Year 2023, SEC, 2023
3Source: SEC Publishes Spring 2023 Regulatory Agenda, JD Supra, 2023
4Source: Key Statistics, FINRA, 2023

 

For financial professional use only. Not intended for public distribution.

Orion has not compensated Maryam Houston from Forum Financial specifically or directly for this testimonial but they could from time to time receive gifts or entertainment as part of our normal business relationship or their firm may participate in marketing or administration support agreements with Orion. None of these occurrences are in place in order to compensate Maryam Houston for the supplied statements.