Compliance Management Software | Orion Compliance

Always Exam-Ready

Orion Compliance is a regulatory technology platform designed for RIAs, broker-dealers, and compliance consultants. It enables coordination of Employee, Firm, and Client Oversight from a single configurable dashboard, building an audit trail in real time.

Built for Continuous Compliance

Three Oversight Pillars. One Dashboard.

• ​Employee Oversight: Monitor and capture employee activities, flag risks, and create records to enhance Code of Ethics compliance.
• ​Firm Oversight: Automate compliance processes, run audits, configure alerts, and keep a record of all compliance activities in one dashboard.
• ​Client Oversight: Gain insight into client holdings, identify potential regulatory violations, and create an audit trail of remedies.

RegTech to Keep Your Team on Track

Three tools, one solution, and comprehensive support to keep your firm ready for audits at any time.

The Regulatory Environment Isn’t Getting Simpler

Cybersecurity, crypto, ESG, and new marketing rules are continually emerging. Orion provides resources to help firms navigate the evolving regulatory landscape.

Flexibility to Scale

Orion Compliance is designed for compliance consultants who need to automate processes, provide transparency, and efficiently manage multiple client relationships. Features include:

• ​One streamlined dashboard for multiple entities
• ​Personalization for every client
• ​Standardized processes for compliance program delivery and management

Client Satisfaction

Orion Compliance ranked #1 in overall client satisfaction in the 2023 Kitces Report AdvisorTech Survey, maintaining top rankings from 2021 to 2023.

Trusted by Compliance Partners

Orion Compliance is used by a network of compliance consulting partners to improve client service and scale their businesses.

Free Resource: Whitepaper

Customized and Compliant: Top Advisors Rely on Oversight

Advances in technology have made compliance more manageable. This whitepaper explains how leveraging a client-centric regtech solution can help you:

• ​Run a more efficient operation
• ​Reduce the risk of costly mistakes and manual processes
• ​Stand above the competition

Introducing Orion Advantage

One Integrated UX. One Agreement. All the Power of Orion.

The Orion Advantage Stack connects all the tools needed to boost productivity, delight clients, and grow your firm. It includes advanced data aggregation and pre- and post-trade compliance reporting.

Frequently Asked Questions

What is Orion Compliance? Orion Compliance is a regulatory technology platform for registered investment advisors, broker-dealers, and compliance consultants. It automates employee, firm, and client oversight in one dashboard to keep firms exam-ready year-round.

What does Orion Compliance include? Three pillars: Employee Oversight (monitor activity, capture records, support Code of Ethics compliance), Firm Oversight (automate processes, run audits, configure alerts, maintain a single dashboard), and Client Oversight (insight into holdings, identify violations, build audit trails).

Who uses Orion Compliance? Chief Compliance Officers, compliance teams, COOs, and consultants at RIAs, broker-dealers, and asset management firms. Includes workflows for outsourced compliance consultants managing multiple firms.

How does Orion Compliance support SEC exam preparation? Maintains a continuous record of compliance activity, with every event, alert, and remediation timestamped and stored. Data and documentation are organized and exportable for regulators.

How is Orion Compliance ranked in industry surveys? Ranked #1 in client satisfaction among compliance technology providers from 2021–2023 and first in value for clients in 2023 (Kitces Report AdvisorTech Survey). Tied for highest market share among traditional RIA compliance platforms in the 2026 T3/Inside Information Software Survey.

Can compliance consultants use Orion Compliance for multiple client firms? Yes. Consultants can manage compliance programs for multiple firms from a single dashboard, push standardized content, and customize for each client.

How does Orion Compliance integrate with the rest of the Orion stack? Integrates with Orion Trading (pre- and post-trade compliance reviews), Orion Portfolio Accounting (client holdings monitoring), and Orion Risk Intelligence for allocation and risk drift monitoring. Pre-trade compliance is included in the Orion Advantage Stack.

How is Orion Compliance priced? Offered in tiered plans based on firm size, number of users, and oversight modules. See the Plans page or contact Orion for a quote.

How does a firm get started with Orion Compliance? Request a demo to review the three oversight pillars and dashboard mapping. Implementation includes setup of policies and procedures, employee enrollment, and dashboard configuration tailored to the firm's regulatory needs.

Integration Partners

ABL Compliance

ABL Compliance offers services to advisory firms to support compliance with the Investment Advisers Act of 1940. They provide customized compliance plans, day-to-day support, and one-time projects.

Beacon Compliance Consulting

Founded in 2009, Beacon provides Chief Compliance Officer services, compliance consulting, advisor registration, document creation, mock auditing, and financial bookkeeping for advisory firms.

Bovill

A regulatory consultancy with offices in the US, Singapore, Hong Kong, and the UK. Bovill supports clients with local and global regulatory needs, with a US team experienced in SEC, CFTC, and NFA regulations.

Cascade Investment Compliance & Verification

Helps RIAs and investment managers achieve and maintain compliance with GIPS®. Services include performance reviews, investment compliance, and consulting.

Core-CCO

Partners with private fund firms in Texas, providing outsourced compliance resources and expertise tailored to each firm's needs.

Core Compliance

Specializes in compliance and risk management for the financial industry, offering solutions based on each firm's unique culture and needs.

DKA Consulting Group

Provides regulatory compliance consulting to registered investment advisers and broker-dealers, including registrations, compliance testing, exam support, and customized programs.

Essential Edge

A virtual firm offering outsourced compliance services for broker-dealers, RIAs, banks, and insurance companies. Services include branch inspections, email and advertising review, and sales supervision, with a flat fee model.

Integrated Compliance Advisors

Offers custom-tailored services to SEC-registered advisory firms, integrating with client compliance departments and providing ongoing guidance, exam support, and specialized projects.

Key Bridge Compliance

Provides outsourced compliance services to RIAs, allowing them to focus on business growth while managing regulatory requirements.

MGL Consulting, LLC

Founded in 1984, MGL is a leading provider of regulatory compliance consulting for broker-dealers, investment advisers, and commodities firms, with a team offering over 400 years of collective experience.

My RIA Lawyer

Helps financial advisers and firms with legal and compliance needs, offering outsourced compliance solutions, legal defense, and comprehensive support.

NexTier Solutions

Provides outsourced accounting, compliance, and HR solutions to investment advisory firms, focusing on efficient and results-driven relationships.

Outsourced Compliance Group

Offers full-service compliance consulting to registered investment advisers, focusing on private funds, registered funds, and high net worth clients. Provides comprehensive outsourced compliance programs and unlimited consulting.

Parker MacIntyre

A law firm representing investment advisers and financial professionals, advising on registration, compliance, and regulatory matters.

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Sources:

• ​The Technology That Independent Financial Advisors Actually Use And Like, The Kitces Report AdvisorTech Survey, 2023.
• ​T3/Inside Information Advisor Software Survey, 2026.