# Hadrius AI-assisted compliance operations for SEC- and FINRA-regulated financial firms - Findings24: - Website: - Pricing: Freemium - Categories: Business Software ## What is Hadrius? 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. ## What can Hadrius do? ### Marketing review and disclosure management 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. ### Communications supervision and archiving Capture, supervise, and archive communications across more than 30 channels. Unified case management and write-once, read-many (WORM) retention support investigations and recordkeeping. ### Employee compliance oversight Track certifications, attestations, personal trading, and disclosures covering outside business activities, gifts, and contributions. Route exceptions and retain timelines of employee compliance activity. ### Account surveillance 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. ### Compliance program governance 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. ### Branch examination management Organize branch exams, personnel organizational charts, questionnaires, and remediation work in a shared platform to coordinate oversight across locations. ## Use Cases ### Coordinate adviser marketing approvals Marketing and compliance teams can review campaign materials in a shared workflow, resolve disclosure issues, and retain the approved version alongside its decision history. ### Prepare an RIA annual review Compliance officers can bring together program testing, policy records, identified issues, and annual-review documentation to support an examination or internal assessment. ### Investigate private-fund trading conflicts Review employee and firm trading against restricted lists and blackout periods, then connect exceptions with attestations and escalation records. ### Manage multiple consulting clients Compliance consultants can use multi-tenant workspaces to standardize reviews, testing, and evidence packages across client firms. ## Frequently Asked Questions ### Does AI make the final compliance decisions? 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. ### What documentation can teams export? 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. ### How does Hadrius describe its AI data handling? Hadrius states that it uses zero-data-retention AI. The platform separately provides archiving and retention capabilities for compliance records and communications. ### How can a firm evaluate Hadrius? The website offers a request-a-demo flow to connect with the Hadrius team. ## Quick Facts - **Category**: Financial compliance software - **Primary users**: Compliance officers and financial services compliance teams - **Regulatory focus**: SEC and FINRA - **Communications coverage**: More than 30 channels - **Website**: https://hadrius.com