Compliance & Oversight
Turnkey Compliance Solutions That Work For You
Powered by your data in Orion, our robust compliance capabilities enable you to face regulatory obligations head-on, even as you grow.
We’ve Got Your Back
Proactive compliance reporting starts with good data and even better processes for archival and retrieval. With Orion, you can trust yours to be as sure as your next routine exam.
- Respond to requests for information quickly and without a hassle with reliable data and audit-ready reporting templates
- Archive and deliver any report run in Orion to an SFTP location of your choice to ensure compliance with document-keeping standards
- Build regularly scheduled supervisory reports and compliance queries to create a testing regimen that helps reduce risk
“Orion understands the importance of monitoring data in real-time. That’s a huge help in my role as a Chief Compliance Officer.”
- Michael Sabre, CFO/CCO, Mount Yale
Next-Level Protection with Ease
Orion’s compliance solutions also provide the data aggregation and reporting capabilities you need to verify and disclose relevant employee and client information, automatically.
- Easily aggregate and view all required Asset data for FORM ADV and FORM 13F regulatory filings within a single, integrated dashboard
- Generate and maintain reports on employee trade activities, affirmations, and disclosures as required by Rule 204A-1, available soon
- Automatically screen clients against anti-money laundering lists with an optional LexisNexis-integrated service
complete compliance tasks at least 25% faster with Orion
A Team Approach
Ready with best practices and published content to help you stay on top of current regulatory news and updates, our Compliance Manager and Subject Matter Experts are an extension of your team, ready to help when you need it.
Looking for more support across your firm? Check out the third-party compliance capabilities of our Enterprise offering.
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With this integration, provide access to account-level data and automatically share the trade history needed to file securities class action claims on behalf of your…
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