Firm Oversight
Hadrius consolidates firm-wide oversight into a single, defensible workflow, so coverage is complete, determinations are consistent, and exams feel routine.
Outcomes that Matter
Minimize “Time To Compliant”
Firm Oversight standardizes reviews, filings, and testing from day one, and AI accelerates configuration by mapping them to your firm’s actual risks. The result: time to compliance drops from months or weeks to days and hours.
Get AI-Enhanced Accuracy
Firm Oversight analyzes your policies, controls, and workflows to automatically surface gaps, inconsistencies, and risks you might miss. AI ensures every review, filing, and test is done correctly and fully documented.
Become Effortlessly Exam Ready
Firm Oversight turns the chaos of compliance into a living system of record that continuously assembles your exam response. Examiners get exactly what they need instantly: no scrambling, no manual prep, no missed evidence.
Features that Move the Needle
Ingest and build your compliance program in minutes
from your WSPs combined with our pre-built templates.
AI-powered gap detection and control mapping
to ensure every requirement is covered accurately.
Smart Calendar with task routing and guided workflows
that keep compliance running smoothly with minimal effort.
Auto-linked evidence, approvals, and versioning
so exam-ready documentation and annual reviews build themselves as you work.
Immutable audit trails and instant exam exports
for complete, examiner-ready transparency.
Real-time dashboards, trends, insights, and risk heatmaps
showing the true state of the program at all times.
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.
We recently switched to Hadrius to consolidate multiple vendors. The ability to easily configure rules, monitor employee trading activity, and generate comprehensive reports has been a game-changer for my team.
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.
