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

Keep Compliance In-House

With compliance capabilities powered by the data within one of your firm's most critical systems, leveraging Orion as your compliance technology eliminates the need to outsource or supplement your existing tech stack. By keeping compliance in-house, you can benefit from:

  • Less technology relationships to manage and moving parts to track, resulting in a more seamless and automated solution
  • Clean and accurate information—and a lowered risk of data breaches that can occur when importing and exporting data across platforms
  • A cost-effective technology that scales with you

Looking for more support across your firm? Check out the third-party compliance capabilities of our Enterprise offering.

 

62%

complete compliance tasks at least 25% faster with Orion
Tech Validate – TVID: EB6-EE5-CB0

Related Integrations

Orion integrates with the LexisNexis Bridger Insight tools within our compliance solution to screen your clients against various lists of prohibited persons, entities and other…

LexisNexis

Compliance

About Our Integration

Orion integrates with the LexisNexis Bridger Insight tools within our compliance solution to screen your clients against various lists of prohibited persons, entities and other bad actors. This integration helps you efficiently confirm the identities of your clients and alert you of ones that may need a second look.

About LexisNexis

LexisNexis is a fully integrated compliance platform that enables organizations to consolidate compliance processes, standardize controls and bring enterprise-wide operational consistency. Reduce the complexity and boost the efficiency of your KYC processes by accessing identity verification, screening, due diligence, and fraud prevention services through a single point of entry for a consistent user experience. By combining industry-leading filtering software with the unmatched watch list content of WorldCompliance™ Data, LexisNexis delivers significant efficiencies to the screening processes to drive compliance cost down, increase operational capacity and reduce cycle times.

RIA in a Box integrates with Orion to pull key Representative and household level data and ensure that an RIA firm is registered, notices are…

RIA In A Box

Compliance | Compliance

About Our Integration

RIA in a Box integrates with Orion to pull key Representative and household level data and ensure that an RIA firm is registered, notices are filed in the proper jurisdictions, and that the current Form ADV information is accurate.

About RIA In A Box

Our mission at RIA in a Box® is to enable fellow entrepreneurs to create their own registered investment advisory firms and receive the ongoing support they need to remain in constant regulatory compliance. We’ve helped over 2,500 investment advisers start an RIA firm and also provide ongoing monthly compliance assistance to over 1,300 SEC and state-registered RIA firms across the country. MyRIACompliance™ combines our team of experts with an online software platform to help RIA firms better manage and automate regulatory responsibilities.

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…

Chicago Clearing Corporation

Compliance | Compliance | Other

About Our Integration

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 clients.

About Chicago Clearing Corporation

Chicago Clearing Corporation (CCC) is the securities class action settlement recovery specialist. Now entering its third decade, CCC is uniquely suited to address all of your clients’ class action needs. Since inception, the firm has recovered over $300 million for its clients—$120 million since 2009 alone.

White Paper

Learn key things every good advisor should know to run a healthy and compliant business.

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