AI-assisted compliance operations for SEC- and FINRA-regulated financial firms
Hadrius is a compliance platform for financial services firms that brings marketing review, communications supervision, employee oversight, account surveillance, and compliance testing into one system of record. It is designed for SEC- and FINRA-regulated organizations, with AI assisting operational work under human governance.
The platform connects policies, reviews, exceptions, and supporting evidence so compliance teams can manage daily supervision and prepare documentation for examinations. Its solutions serve broker-dealers, registered investment advisers, private funds, and compliance consultants.
Route submissions for approval, flag potential issues in text, PDFs, images, video, and slides, and maintain disclosure records. Inline review tools, version histories, and linked approval logs preserve the review process.
Capture, supervise, and archive communications across more than 30 channels. Unified case management and write-once, read-many (WORM) retention support investigations and recordkeeping.
Track certifications, attestations, personal trading, and disclosures covering outside business activities, gifts, and contributions. Route exceptions and retain timelines of employee compliance activity.
Combine trade data, communications, policies, and attestations in surveillance workflows. Monitor restricted lists and blackout windows, enforce pre-clearance, and escalate potential conflicts with supporting audit trails.
Manage policies, risks, controls, testing, issues, and annual reviews in one system. Dashboards and traceable records help teams assess control effectiveness and document follow-up work.
Organize branch exams, personnel organizational charts, questionnaires, and remediation work in a shared platform to coordinate oversight across locations.
Marketing and compliance teams can review campaign materials in a shared workflow, resolve disclosure issues, and retain the approved version alongside its decision history.
Compliance officers can bring together program testing, policy records, identified issues, and annual-review documentation to support an examination or internal assessment.
Review employee and firm trading against restricted lists and blackout periods, then connect exceptions with attestations and escalation records.
Compliance consultants can use multi-tenant workspaces to standardize reviews, testing, and evidence packages across client firms.
Hadrius describes its platform as operating under human governance. For marketing reviews, AI highlights potential issues and required disclosures while reviewers retain control of decisions.
Marketing review supports examiner exports containing documentation and review history. Account surveillance provides exportable audit trails, while program governance supports compliance reporting and annual-review documentation.
Hadrius states that it uses zero-data-retention AI. The platform separately provides archiving and retention capabilities for compliance records and communications.
The website offers a request-a-demo flow to connect with the Hadrius team.
トラフィックデータは参考情報としてご利用ください。
