Orion Advisor Solutions

Orion Compliance Plans

Orion Compliance offers customizable compliance solutions with distinct Employee and Firm Oversight features—such as personal trading, certifications, risk assessment, and whistleblower tools—priced at $8,500/year for up to 10 users, and Client Oversight features—including post-trade compliance and account supervision—priced at $10,000/year plus per-account fees, both available standalone, as add-ons, or included in the Advantage Stack with unlimited users, with additional databases and users available for extra fees and requiring accounts custodied at Schwab, Fidelity, or Pers.

Design the Right Compliance Solution For You

Every firm is different. Orion Compliance offers three distinct solutions you can use to build the always-on compliance solution that’s best for you. Use Orion Compliance products on their own or as part of Orion Stacks.

Orion Compliance Employee and Firm Oversight Features

  • Personal Trading
  • Certifications (Certs)
  • Testing
  • Forms
  • Insider
  • Outside Business Activities
  • Risk Assessment
  • Gifts & Entertainment (GEM)
  • Onboard
  • Whistleblower
  • Governance & Audit (Campaigns)
  • Filer
  • Library
  • Calendar
  • Reports
  • APIs
  • Single Sign-On (SSO)

Pricing for Employee and Firm Oversight:

  • Standalone: $8,500.00 /year (up to 10 users; add users for $200/user/year)
  • Add-on to Orion Essentials or Foundation: $8,500 / year (up to 10 users; add users for $200/user/year)
  • Included with Advantage Stack: Included with unlimited users

Client Oversight Features

  • Post-Trade Compliance of Client Activity (Supervision)
  • Drift (not available standalone without Orion Risk Intelligence)
  • Pre-Trade Compliance (not available standalone without Eclipse)
  • Share Class (not available standalone without Orion Risk Intelligence)
  • Ownership and Large Trader (not available standalone without Orion Risk Intelligence)
  • ADV, AUA, 13F Overviews (not available standalone without Portfolio Accounting)

Pricing for Client Oversight:

  • Standalone: $10,000 / year + $5.00 per account (up to 10 users; add users for $200/user/year)
  • Add-on to Orion Essentials or Foundation: $12,000/ year (up to 10 users; add users for $200/user/year)
  • Included with Advantage Stack: Included with unlimited users

Notes:

  1. 1.If both Employee & Firm Oversight and Client Oversight are purchased, the annual price includes one database. Additional databases can be purchased for $2,500 each.
  2. 2.The annual price includes up to ten users. Additional users can be purchased at the rate above.
  3. 3.Accounts must be custodied at Schwab, Fidelity, or Pershing to be billed at $5.00 per account annually; other custodial accounts from approved sources are billed at $8.00 per account annually. Other sources will be billed at a rate to be agreed upon.
  4. 4.Client Oversight add-on includes one Orion Risk Intelligence license. Additional licenses can be purchased.

Frequently Asked Questions

What is Orion Compliance?

Orion Compliance expands compliance oversight and management capabilities, allowing compliance professionals full control over all aspects of their programs. Orion Compliance incorporates support for employee oversight, firm oversight, and client oversight.

The software’s rule-based engine allows compliance professionals to automate time-consuming compliance tasks, and the centralized library makes it easy to find and produce an audit trail.

Orion Compliance is a flexible and scalable solution, with three distinct offerings (Employee Oversight, Firm Oversight, and Client Oversight) you can combine to build the RegTech solution that’s right for your firm.

Does Orion Compliance offer compliance consulting services?

Orion does not offer compliance consulting services, but has a network of trusted compliance consultants and law firms that have partnered with Orion Compliance.

How does Compliance integrate with other Orion technology?

Orion integrates all technology into a single platform, creating one source of truth.

What makes Orion Compliance unique?

Orion Compliance was built by compliance professionals who know firsthand the struggles CCOs face. The platform automates many key compliance tasks, makes reporting and filing simple, and offers secure access from anywhere with its mobile app.

Dozens of integrations with other Orion tech solutions reduce rote work and room for human error. Brokerage feeds are also automatically pulled in, eliminating manual monitoring.

One integrated UX for every stage of growth

57% of advisors identify integration gaps between their core applications as their top technology challenge. Orion Stacks offers a solution designed to integrate all essential tools. Whether you prefer Orion Stacks or standalone options, including Compliance services, you can tailor your experience to fit your business needs, catering to businesses of all sizes.

Compliance Software That Never Sleeps

Ready for round-the-clock compliance? Orion Compliance can support your team, day and night.