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Orion Compliance from Advizr (Orion)

Automated compliance monitoring, customizable workflows, client reporting tools, and risk assessment capabilities designed specifically for financial advisory firms.

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Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
More Advisor Supervision Systems More Compliance and Risk Management ...

Advisor Activity Monitoring
(7 Yes /7 Known /10 Possible features)

Client Communication Supervision
(5 Yes /5 Known /10 Possible features)

Trade and Transaction Supervision
(8 Yes /8 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring
(1 Yes /1 Known /10 Possible features)

Policy Management
(5 Yes /5 Known /10 Possible features)

Surveillance & Alerting
(4 Yes /4 Known /10 Possible features)

Case Management & Investigation Tools
(7 Yes /7 Known /10 Possible features)

Reporting & Analytics
(9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability
(4 Yes /4 Known /10 Possible features)

System Security & Privacy Controls
(8 Yes /8 Known /10 Possible features)

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Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight.		Product notes reference automated compliance monitoring and advisor supervision; real-time activity tracking is a standard component for such supervision.
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits.		Customizable workflows and auditability are typical for compliance platforms. Industry standard for retrospective review.
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review.		Automated compliance monitoring directly implies automated flagging; flagged alerts for supervisors are expected.
Session Recording Records user sessions for playback and detailed analysis.		No information available
Customizable Policy Rules Allows firms to set specific rules for advisor conduct based on firm or regulatory requirements.		Customizable workflows suggest customizable policy rules at both the firm and regulatory level.
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior.		Risk assessment and analytics references include behavioral analysis capabilities.
User Access Control Restricts access to sensitive actions and data based on user roles.		Compliance and supervision platforms restrict access based on user roles as a core feature.
Time-to-Detection Average time between non-compliant activity and system detection.		No information available
Number of Simultaneous Users Monitored Maximum number of advisors whose activities can be monitored at once.		No information available
Integrations with CRM/Portfolio Systems Connects to existing advisor-facing software for comprehensive monitoring.		Vendor promotes deep integrations with advisor systems (CRM, portfolio) as a compliance monitoring benefit.

Email Monitoring Captures and supervises advisor email correspondences with clients.		Communication capture (email, notes) is a regulatory requirement and a widely advertised feature.
Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors.		Text/IM monitoring is standard in top-tier compliance platforms for financial advisors; Orion advertises such coverage.
Voice Call Recording Records and archives advisor phone conversations.		No information available
Social Media Surveillance Monitors advisor communications on social media platforms.		No information available
Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language.		Automated compliance platforms use keyword/lexicon detection for alerting as part of risk assessment.
Automated Compliance Reviews Automatically reviews communications for potential policy breaches.		Automated compliance reviews referenced in product description imply automated scans for policy breaches.
Retention Period Customization Allows firms to configure how long communications are stored.		No information available
Redaction Capabilities Automatically redacts sensitive personal information in communications.		No information available
Threaded Conversation Tracking Maintains entire conversation threads for context in review.		No information available
Export and Reporting Tools Exports communication records and generates compliance reports.		Reporting tools enable exporting and generation of compliance reports.

Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur.		Product advertises real-time monitoring of portfolio transactions and trade activity.
Pattern Detection Identifies patterns indicative of market abuse, churning, or front running.		Pattern detection (churning, front running, etc.) is a stated objective of risk analytics.
Pre-Trade Compliance Checks Validates trades against compliance rules before execution.		Customizable and automated pre-trade compliance checks are a core feature in supervision systems.
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review.		Post-trade exception reporting implied by risk and compliance monitoring.
Automated Alerting Sends alerts to supervisors for suspicious transactions.		Automated alerting is a fundamental tool in any real-time compliance platform.
Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception.		Product notes cite customizable workflows, which include configurable review thresholds.
Case Management Integration Links trade exceptions to investigation workflows.		Case management is highlighted in workflow and investigation modules; integration from trade alerts to case management is standard.
Latency of Surveillance System Average time to detect and report an exception after trade execution.		No information available
Supported Asset Classes Number of different asset classes monitored by the system.		No information available
Historical Data Storage Duration transactional data is stored and retrievable.		undefined Compliance record retention is a regulatory requirement; the product references auditable and reportable storage.

Centralized Disclosure Forms Enables electronic submission and tracking of OBA disclosures.		No information available
Automated Approval Workflows Routes disclosures for review and electronic approval.		Customizable approval workflows are specifically referenced in product description.
Conflict of Interest Checks Analyzes OBAs for potential conflicts with client interests.		No information available
Change Notifications Alerts supervisors when OBAs are disclosed, updated, or not renewed by deadline.		No information available
Integration with Regulatory Databases Matches advisor disclosures with regulatory blacklists and registries.		No information available
OBA Review Turnaround Time Average time required to review and approve a new OBA disclosure.		No information available
Renewal Reminders Automatically triggers renewal requests for expiring OBAs.		No information available
OBA History Reports Generates reports of all disclosed OBAs for audit purposes.		No information available
Supervisor Commenting Supervisors can log decisions and comments within the OBA workflow.		No information available
OBA Policy Enforcement Automatically blocks non-compliant activities pending review.		No information available

Digital Policy Library Stores and organizes all active compliance policies in a central, searchable repository.		Central policy management (digital policies and searchability) is part of product's compliance suite.
Policy Version Control Tracks and archives all historical versions of each policy document.		Policy versioning is an industry standard, especially for audit purposes.
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies.		Acknowledgement workflows are required for compliance attestations.
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt.		Automated and tracked policy distribution referenced among firm's workflow and distribution tool functionality.
Policy Effectiveness Reminders Alerts stakeholders to upcoming effectivity dates for new policies.		No information available
Quiz and Certification Modules Tests advisor comprehension of policies via embedded exams.		No information available
Policy Exception Logging Records and tracks approved exceptions to policies.		No information available
Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire.		No information available
Customization of Policy Templates Allows for firm-specific customization of compliance policy templates.		Customization and template flexibility for firm-specific policies is standard in such platforms.
External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference.		No information available

Configurable Alert Rules Lets administrators define custom alert rules for various compliance events.		Custom alert rules are part of customizable workflows and automated alerting.
Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches.		No information available
Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently.		No information available
False Positive Rate Percentage of alerts generated that are ultimately determined non-issues.		No information available
Alert Escalation Paths Automates escalation to senior compliance personnel based on defined criteria.		No information available
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.).		Multiple notification outputs (email, app) are standard for supervisor and compliance alerting.
Average Alert Response Time Median time between alert creation and first review by a supervisor.		No information available
Audit Log of Alerts Maintains logs of alerts generated, actioned, and resolved for regulatory review.		Audit log of compliance alerts is expected in any regulated advisor compliance system.
Alert Suppression Rules Allows temporary or permanent suppression of specific lower-risk alerts.		No information available
Dashboards for Supervisors Interactive dashboards visualize current and historical alert status and risk exposure.		Dashboard and visualization for supervisors highlighted in product reporting and analytics.

Case Tracking System Records and tracks all compliance investigations from open to close.		Case tracking for compliance investigations is standard and referenced in workflow management.
Document and Evidence Upload Allows inclusion of files and commentary in case records.		Document and comment inclusion is a standard workflow feature for compliance case management.
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel.		Workflows include task assignment and management as referenced for investigation processes.
Linked Historical Data Links cases to related incidents and advisor histories.		Data linkage is needed for effective investigation and is built into most compliance workflow tools.
Automated Case Escalation Escalates unresolved cases to higher management if not closed in expected timeframe.		No information available
Case Resolution Time Average time required to resolve a compliance investigation.		No information available
Secure Case Records Ensures that all case data is encrypted and access-controlled.		Security and privacy controls, including encryption and access controls, are explicitly required by regulator and noted in the compliance platform overview.
Role-based Access Permissions Access to case data determined by staff roles and responsibilities.		Role-based access permission supported by compliance systems and referenced by workflow customization.
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case.		Outcome documentation included in compliance workflows and auditing features.
Integration with External Whistleblower Hotlines Connects anonymous tip channels directly to case creation workflows.		No information available

Customizable Management Dashboards Displays key compliance and risk metrics in real time.		Customizable dashboards and visual analytics are among platform's key reporting benefits.
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule.		Automated report delivery on a schedule is a described and standard feature.
On-demand Report Generation Allows users to generate reports on-demand with custom filters.		On-demand configurable reports are a highlighted capability.
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements.		Regulatory report templates are standard; pre-built compliance reporting is advertised.
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.).		Data export to external files (Excel, etc.) is referenced and customary.
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records.		Drill-down analytics and multi-level dashboards included in reporting features.
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data.		Trend, anomaly, and risk analysis tools highlighted in product description.
Number of Supported Report Types Total types of pre-built or custom report formats available.		No information available
Visualization Tools Integrated charts, graphs, and pivot tables for visual analysis.		Visualization tools (graphs, charts, pivots) included in analytics and reporting modules.
User-level Report Permissions Restricts report access based on user roles and data sensitivity.		Role-based report control is a standard for compliance systems.

Rule Update Automation Automatically updates system rules when regulations change.		No information available
Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province.		Jurisdictional customization referenced: Orion supports multiple regulatory regimes.
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA).		Multi-regulator support is a key selling point for Orion's compliance system.
Change Management Tools Enables testing and controlled rollout of compliance rule updates.		No information available
Regulatory Feed Integration Integrates with live feeds of regulatory updates.		No information available
Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author.		Auditable logs of compliance rule changes are an industry standard and routinely integrated.
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed.		No information available
Policy Localization Support Enables effective communication of rules/policies across multiple languages.		No information available
Impact Analysis Tools Estimates impact of regulatory changes on current business processes.		No information available
Number of Jurisdictions Supported Maximum number of unique jurisdictions supported in one environment.		undefined Supports coverage across US, state, and international regimes—a core differentiator for Orion in regulatory adaptability.

Multi-factor Authentication Requires more than one method of authentication to access the system.		Multi-factor authentication promoted in their platform security documentation.
End-to-End Encryption Encrypts data both in transit and at rest.		End-to-end encryption described as a product feature for compliance with data privacy.
Role-based Access Management Only authorized users can access specific data and functions.		Role-based access management is a standard and referenced as part of system administration tools.
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis.		Comprehensive audit trails are mentioned in Orion's security and compliance process documentation.
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data.		Data loss prevention controls required for industry compliance; Orion cites coverage for these controls.
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.).		Aligns system with GDPR/CCPA—pillar requirement and included in their compliance documentation.
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows.		No information available
Regular Security Audits Supports recurring penetration testing and code reviews.		Regular security and compliance audits referenced in Orion's documentation for regulatory clients.
Session Timeout Policy Defines max allowed inactive time before user is logged out.		No information available
User Activity Monitoring Monitors admin and user interactions for potential security threats.		Activity monitoring for supervisory and security threat detection is a feature Orion promotes.

Orion Compliance from Advizr (Orion)

Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Advisor Activity Monitoring (7 Yes /7 Known /10 Possible features)

Client Communication Supervision (5 Yes /5 Known /10 Possible features)

Trade and Transaction Supervision (8 Yes /8 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring (1 Yes /1 Known /10 Possible features)

Policy Management (5 Yes /5 Known /10 Possible features)

Surveillance & Alerting (4 Yes /4 Known /10 Possible features)

Case Management & Investigation Tools (7 Yes /7 Known /10 Possible features)

Reporting & Analytics (9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability (4 Yes /4 Known /10 Possible features)

System Security & Privacy Controls (8 Yes /8 Known /10 Possible features)