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Orion Bolsters Client Oversight Tool with Launch of Post-Trade Supervision Capabilities

By: via Business Wire

Integrated automated workflows provide compliance officers comprehensive view of client activity, enabling efficient monitoring and mitigation of potential violations

Orion, the premier provider of transformative wealthtech solutions for fiduciary advisors, today announced groundbreaking enhancements to its top-ranked Orion Compliance offering. The new Post-Trade Supervision feature strengthens Orion’s industry-leading Client Oversight module, offering an end-to-end workflow solution that provides eye-in-the-sky post-trade compliance of client activity.

“In today’s evolving regulatory landscape, it is critical for advisors and compliance officers to build and maintain a dynamic compliance program that can keep pace,” said Kylee Beach, general counsel at Orion. “Without the proper infrastructure in place, firms are at risk of being reprimanded and fined. The addition of Post-Trade Supervision to the Client Oversight tool mitigates this risk, empowering compliance officers to protect their firm and its advisors.”

As revealed by Orion’s second annual Wealthtech Survey, nearly half (46%) of advisors are currently outsourcing aspects of compliance and regulatory reporting, with advisor interest in these services expected to increase by another 19% over the next three years. Moreover, 44% of advisors would rather avoid these tasks altogether. In response, Orion has expanded its Client Oversight tool with key features to simplify Post-Trade Supervision. These include:

  • Portfolio Drift Alerts: Powered by Orion Risk Intelligence, firms can track portfolio drift at the account level and automatically establish a sense of urgency by alerting reps when portfolios drift out of range via a seamlessly integrated compliance and risk solution.
  • Powerful Rules Engine: Firms can leverage configurable and out-of-the box rules to monitor various aspects of client activity, including concentration limits, high-cash, low-trade volume and more, streamlining post-trade compliance.
  • Portfolio & Risk Monitoring: With ongoing automatic scans of trades, holdings and accounts against predefined rules, the system produces a series of action items with end-to-end workflow. Enhanced unified monitoring affords compliance officers an eye-in-the-sky view of client activity, enabling rapid detection and response to potential infractions.
  • On Demand Reporting: Orion’s end-to-end workflow and reporting capabilities provide a comprehensive overview of client activity, ensuring transparency and ease in compliance documentation.

“Orion Compliance revolutionizes the way firms manage their compliance programs, ensuring they are always audit-ready. By automating key processes, creating a shared source of truth, and maintaining essential filings and records, we enable firms to reclaim time in their day and focus on what matters most: nurturing valuable client relationships that fuel growth,” added Natalie Wolfsen, chief executive officer at Orion. “The addition of Post-Trade Supervision capabilities underscores our dedication to providing advisors with the tools they need to efficiently manage compliance and safeguard their firms.”

Orion Compliance's Client Oversight tool complements its Firm and Employee Oversight components by delivering unparalleled automation that enables comprehensive oversight via a centralized, secure dashboard. This innovation not only streamlines regulatory reviews with customizable alerts and easy document access but also seamlessly integrates with Orion Advisor Tech's broader ecosystem. Orion Compliance is available on its own and via the Orion Advantage Stack, which seamlessly connects all the tools advisors need to propel productivity, delight clients, and grow their firms.

For more information on Orion Compliance, visit orion.com.

Survey Methodology

A 10-minute online survey of financial advisors (including Orion Advisor Solutions clients and non-clients) was conducted in January 2024 by Logica Research. Sample size = 542.

About Orion

Orion is a premier provider of the tech-enabled fiduciary process that transforms the advisor-client relationship by enabling financial advisors to Prospect, Plan, Invest, and Achieve within a single, connected, technology-driven experience. Combined, our brand entities, Orion Advisor Tech, Orion Portfolio Solutions, Brinker Capital Investments, Redtail Technology, and Orion OCIO create a complete offering that empowers firms to attract new clients seamlessly, connect goals more meaningfully to investment strategies and outcomes, and ultimately track progress toward each investor’s unique definition of financial success. Orion services $4.1 trillion in assets under administration and $65.9 billion of wealth management platform assets (as of December 31, 2023) and supports over six million technology accounts and thousands of independent advisory firms. Today, 12 out of the Top 15 Barron’s RIA firms1 rely on Orion’s technology to power their businesses and win for investors. Learn more at Orion.com.

1Source: 2023 Top 100 RIA Firms, Barron's, 2023.

0415-OAT-2/23/2024

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