Branches
Manage end-to-end branch exams, pull personnel and branch supervision from FINRA, and set up your exams exactly how you want them — all in one platform.
Supervise every branch
Keep tabs on every office
See every location’s supervisor, status, last exam, and next exam due. With Branches, offices open and close with the roster and exam schedule in sync.
Run your exams right the first time
Ensure audit readiness across your entire organization with pre-audit questionnaires, follow-up letters, and built-in remediation flows.
Build a record in real time
Evidence, personnel rosters, and every action on an exam are written to a WORM audit trail that is captured as the work happens.
Every exam, every location
Branch directory
Every location, supervisor, and registration in one inventory with your chain of supervision visualized.
Exam scheduling
Automatically schedule each location’s exam cadence in accordance with Rule 3110. Run ad-hoc exams whenever you need.
Questionnaires
Send the right questions to each location’s inspector, the branch manager, and the reps.
Follow-ups & remediation
Every finding & corrective action gets an owner, due date, and paper trail that runs to closure.
Automated close-out letters
Every detail compiles into an easy to read, audit-ready close-out letter.
Privacy & data management
Keep whatever shouldn’t be exposed internal to your compliance team.
Audit trail
Automatically write every action to a WORM record, as it happens.
Strategic Advantages
Flexible user permissions
Role-based access controls ensure only authorized team members can securely monitor, review, and manage workflows.
Consolidation that reduces risk
Replace error-prone spreadsheets and legacy solutions with intelligent automation that increases transparency across your firm.
Provable control effectiveness
System-level audit traceability and immutable lineage make evidence exportable in clicks.
Comprehensive reporting
Exception reports, dashboards, and annual reviews that make audits straightforward.
Unified data control
Policies, risks, and testing in a single source of truth to eliminate silos and prove program integrity.
Regulatory alignment
System-driven oversight aligned to SEC 206(4)-7 and FINRA 3110/3120/3130 and built to adapt to the changing regulatory environment.
Redefining Compliance for Teams that Refuse to Settle.
Hadrius powers compliance for firms across the financial services industry who demand more than outdated systems and manual processes. Our AI-driven platform is built to meet the unique regulatory challenges of compliance teams. One platform, tailored to the way you work.
Broker Dealers
Confidently meet FINRA requirements.
Automate processes, centralize reviews, and cut false positives by 90% or more to stay compliant under Rules 3110, 3120, and 3130.
Average annual compliance savings per user with Hadrius.
Hours gained back weekly per user after implementation.
RIAs
Exam-ready. SEC-compliant.
Automate oversight so you can demonstrate strong supervisory systems without the manual burden.
AUM governed on Hadrius across clients.
Fewer false positives and AI noise reduction in supervision workflows.
Private/Hedge Funds
Control Risk. Protect Investor Confidence.
Hadrius delivers real-time oversight to help your firm confidently meet SEC requirements. Our AI-powered platform enforces robust controls, mitigates regulatory risk, and protects the trust your investors place in you.
Reduction in marketing review cycle times.
Reduction in time spent on e-comms supervision.
Compliance Consultants
Scale your impact. Strengthen client
oversight.
Deliver measurable results with one platform that simplifies reviews, testing, and reporting across firms.
Reduction in daily compliance workloads.
Less time spent on communications compliance.
Resources
.png)
We are Hadrius.
Hadrius is built for financial services compliance teams that demand more from their technology. Our privacy-first, policy-aware AI compresses review cycles, eliminates noise, and produces regulator-grade evidence on demand.
One vendor. One system of record.
