Hadrius announces the launch of Client Trade Surveillance, a new product engineered to monitor client trading activity across financial firms in real time. The release complements Hadrius’ widely adopted Employee Trade Surveillance product, giving chief compliance officers (CCOs) and compliance leadership a unified operating picture across personal and client activity without expanding their data risk footprint. At the core: Hadrius Zero Data Retention AI with OpenAI, which performs stateless inference so sensitive transactional data is not stored, cached, or used to train shared models—an architectural decision that differentiates Hadrius from data-pooling competitors.
“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.”
Siloed tools, spreadsheets, and post-trade certifications slow reviews and magnify regulatory risk. Hadrius unifies trade, communication, policy data, and employee attestations in an AI-driven workflow, cutting false positives by 90% or more and giving teams back over 19 hours each week.
Client Trade Surveillance Features
- No-Code Rule Builder – Compliance authors and deploys new rules in minutes—no engineering queue.
- Common Rule Engine Across Populations – Apply identical policy logic to client and employee trades for immediate exception detection.
- Unified Data Ingestion & Feed Monitoring – Nightly SFTP/API pulls from major custodians (Schwab, Fidelity, Pershing, NFS, Raymond James, Altruist), proprietary OMS platforms, and connected employee accounts; on-demand CSV/Excel uploads reduce blind spots.
- Severity-Ranked Alerts & Case Management – Auto-routing, escalation tracking, and full linkages between trades, communications, and triggering rules for defensible closure.
- Audit-Ready Reporting & Exports – Live dashboards plus one-click regulator packs (CSV/EML/PDF) streamline exam response cycles.
- Zero Data Retention AI with OpenAI (Hadrius Differentiator) – Stateless inference: surveillance signals are generated without retaining, training on, or commingling a firm’s trade data. Supports strict data governance, MNPI handling, and vendor risk review.
Business Impact for Financial Firms
Consolidating surveillance across client and employee populations delivers 360° risk visibility from a single dashboard—ending blind spots and reducing dependence on fragmented point tools. Firms report average annual savings of over $35,000 per compliance team and rely on Hadrius to monitor over $2 trillion in AUM across 400+ firms.
Availability
Client Trade Surveillance is available now as a standalone Hadrius product and can be deployed alongside Employee Trade Surveillance for unified oversight across all monitored accounts. Real-time personal and client trading oversight is supported at launch.
Request a Demo
See Client Trade Surveillance in action: visit www.hadrius.com or email sales@hadrius.com to schedule a live demonstration tailored to your firm’s scope.
