Hadrius Employee Oversight

AI-native employee oversight and compliance platform for SEC and FINRA regulated firms.

by Hadrius ยท Compliance & Risk Management

Executive Summary

Hadrius Employee Oversight is an AI-native compliance platform built specifically for SEC- and FINRA-regulated financial firms. It centralizes and automates employee activity supervision, including personal trading disclosures, outside business activities (OBAs), political contributions, gifts and entertainment reporting, and electronic communications surveillance. By leveraging specialized AI models to analyze employee activity and communications, Hadrius reduces false positive alerts by up to 90% compared to legacy monitoring systems. The platform ingests data from messaging tools, enterprise AI applications, email, and financial data feeds, providing real-time risk visibility while automatically building an audit-ready books-and-records archive. Featuring enterprise-grade security with SOC 2 compliance and zero-retention AI processing, Hadrius enables RIAs, broker-dealers, and compliance consultants to enforce policies efficiently, automate annual attestations, and remain audit-ready for regulatory examinations.

Use Cases

  • Surveilling employee electronic communications and enterprise AI tool usage (e.g., Claude Enterprise, Slack, email) for regulatory compliance risks.
  • Automating employee personal securities transactions monitoring, outside business activities (OBAs), and gift and entertainment disclosures.
  • Managing automated compliance attestations, annual certifications, and policy acknowledgments across firm personnel.
  • Maintaining continuous, audit-ready books-and-records archives for SEC and FINRA regulatory examinations.

Features

Visibility

  • Centralized Supervision Dashboard: Single dashboard to track all employee disclosures, attestation completion, and flagged communications.
  • Audit-Ready Books & Records Archive: Immutable compliance archiving designed to satisfy SEC and FINRA regulatory exam requirements.

Intelligence

  • Contextual AI False Positive Filter: AI models built specifically for compliance context, eliminating 90% of false positive alerts.
  • Enterprise AI Tool Surveillance: Real-time monitoring and archiving of employee interactions with Claude Enterprise and generative AI tools.

Support

  • Compliance Expertise Onboarding: Dedicated implementation support structured around financial industry compliance standards.

Technical Specifications

Architecture
Cloud-native microservices architecture with real-time API integrations and zero-retention AI surveillance pipeline
Deployment
SaaS
Authentication
SSO/SAML, MFA
API Available
Yes
MCP Server
No

Infrastructure

  • AWS

AI/ML Stack

  • Claude Compliance API
  • Proprietary Fine-Tuned Compliance LLMs

Integrations

  • Claude Enterprise
  • Slack
  • Microsoft Teams
  • Microsoft Outlook
  • Google Workspace

Security & Compliance

Certifications: SOC 2

Encryption: AES-256 encryption at rest, TLS 1.3 in transit, and zero-data-retention AI processing

Pricing

Model
Subscription
Starting Price
Contact sales
Target Customer
Mid-Market,Enterprise
Contract Type
Annual
Free Trial
No