A Specialized Solution to Bolster Visibility Without Bearing the Expense of Client Data

Hadrius has officially announced the launch of Client Trade Surveillance, which happens to be a new product, geared towards monitoring client trading activity across financial firms in real time.

According to certain reports, the stated innovation arrives on the scene bearing an ability to bestow upon chief compliance officers (CCOs) and compliance leadership a unified operating picture across personal and client activity without expanding their data risk footprint. 

More on that would reveal how this new innovation leverages Hadrius Zero Data Retention AI with OpenAI to perform stateless inference, ensuring that sensitive transactional data is not stored, cached, or used to train shared models. 

To understand the significance of such a development, we must dig into how siloed tools, spreadsheets, and post-trade certifications have long been known to slow down reviews, and at the same time, magnify regulatory risk. 

Against that, Hadrius introduces a mechanism capable of unifying trade, communication, policy data, and employee attestations in an AI-driven workflow so to shrink false positives by 90% or more and save teams over 19 hours each week. 

Talk about the whole value proposition on a slightly deeper level, we begin from the promise of a no-code rule builder, which makes it possible for you to conceive and deploy new rules in minutes, with no engineering queue mandated whatsoever.

Next up, we have a common rule engine across populations coming into play. The said engine can basically empower you big time in the context of applying identical policy logic to client and employee trades for immediate exception detection.

Another detail worth a mention relates to the prospect of having unified data ingestion and feed monitoring. We get to say so because of how nightly SFTP/API pulls from major custodians (Schwab, Fidelity, Pershing, NFS, Raymond James, Altruist), proprietary OMS platforms, and connected employee accounts. Alongside that, on-demand CSV/Excel uploads also tread up a long distance cut down on blind spots.

Beyond that, Hadrius’ latest brainchild brings forth severity-ranked alerts & case management capabilities. Here, users can come expecting auto-routing, escalation tracking, and full linkages between trades, communications, and a facility for triggering rules for defensible closure.

Hold on, we still have a couple of bits left to unpack, considering we haven’t yet touched upon the availability of audit-ready reporting & exports. This aspect is inclusive of live dashboards plus one-click regulator packs (CSV/EML/PDF) that effectively streamline exam response cycles.

Rounding up highlights would be Hadrius Client Trade Surveillance solution’s bid to dispatch surveillance signals, signals that are generated without retaining, training on, or commingling a firm’s trade data. Not just that, it also supports strict data governance and MNPI handling, while simultaneously facilitating vendor risk review.

Among other things, it ought be acknowledged that Hadrius’ new innovation, in essence, is designed to consolidate surveillance across client and employee populations, all for the purpose of delivering at your disposal 360° risk visibility from a single dashboard. Such a mechanism eliminates blind spots and reduces dependence on fragmented point tools. 

In fact, firms that were a part of the initial deployment for this technology reported average annual savings of over $35,000 per compliance team. Making this even bigger of a deal would be the fact that more than 400 organizations, at the moment, bank upon Hadrius to monitor collectively $2 trillion worth of AUM.

“CCOs shouldn’t have to choose between faster surveillance and data control,” said Som Mohapatra, Co-Founder of Hadrius. “With Client Trade Surveillance, firms get real-time scale across all client accounts—and thanks to our Zero Data Retention AI, they don’t have to ship their trade history into someone else’s model to get there.”