Employee Oversight
Gain real-time visibility into all employee activity through AI-driven monitoring, automated certifications, and policy enforcement, enabling faster risk detection, stronger compliance control, and audit-ready execution across your entire program.
Outcomes that Matter
Minimize “Time To Compliant”
AI accelerates both sides of the workflow: advisors get guided, error-free tasks that finish quickly, while compliance receives clean, organized inputs that require minimal follow-up. The result is a firm that reaches full compliance far faster, with less work from everyone involved.
Get AI-Enhanced Accuracy
AI analyzes employee trades, disclosures, communications, and certifications to catch conflicts, policy gaps, and inconsistencies you might miss in real time. Reviewers get precise, contextual alerts that improve accuracy across every oversight function.
Become Effortlessly Exam Ready
Employee Oversight creates an immutable, end-to-end compliance record that regulators love: complete, consistent, and instantly exportable. When exams hit, the full history of employee activity and oversight is already prepared and packaged.
Features that Move the Needle
Automated employee obligations and guided task flows
that speed employees to compliant behavior.
AI-powered conflict detection and completeness checks
for higher accuracy with fewer manual reviews.
Unified dashboards, auto-linked evidence, and smart prioritization
that minimize compliance workload while you focus on the most important items.
Immutable audit trails and one-click exam exports
for instant exam readiness.
Policy-aware AI recommendations
that improve consistency and defensibility across the program.
Strategic Advantages
Seamless program management
Unified workflows, granular controls, and actionable reporting for end-to-end oversight.
Regulator-ready documentation
Centralize evidence and generate defensible, on-demand reports with immutable timelines per employee and entity.
Real-time risk mitigation
Identify and resolve issues as they emerge, not after the fact.
Operational efficiency
Automate repetitive tasks, reduce human error, and return critical time back to your team.
Flexible user entitlements
Granular, role-based permissions help protect sensitive data and enforce clear lines of accountability.
We recently switched full-boat to Hadrius - loving it so far. It’s been breathtakingly awesome in terms of just the ease and how helpful the team is. Hadrius is vastly easier than previous tools we’ve used.
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
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.
