Compliance and Operations — Delivered by Experts, Accelerated by AI
Seasoned leadership and front-line staff that accelerate execution with AI-enabled workflows.
Fractional Leaders. Real Execution.
AI Compliance That Eliminates Busywork.
Enhanced Supervision. Always Audit-Ready.
Regulatory Strategy That Moves Firms Forward.
Who We Serve
Early-stage Independent Broker-Dealers
Growth-stage Investment Advisors
Emerging Digital-Asset and Tokenized-Securities Firms
Fintech Entrants and Startups
Built for firms that can’t afford compliance guesswork.
Pick the lane that fits your model, and we’ll meet you with the right mix of leadership, tooling, and execution.
Contact us today and see how we can help your firm.
Pick Your Solution
How We Do It
We embed experienced leaders and doers, so your supervisory program runs with defensible oversight, without waiting on hiring cycles.
We automate the repetitive workflows that stall teams, so execution stays consistent and measurable.
We strengthen supervisory routines, evidence, and remediation so you are always ready for an exam.
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At GiGCXOs, we pride ourselves on being at the forefront of integrating artificial intelligence (AI) with regulatory compliance for Broker-Dealers, Registered Investment Advisers (RIAs), Exempt Reporting Advisers (ERA), and Alternative Trading Systems (ATS)
By leveraging advanced AI-driven tools and strategies, we can identify efficiencies that drastically reduce compliance burden, cutting regulatory costs by up to 70%.
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A fractional FINRA or SEC executive brings in seasoned leadership and deep industry knowledge without the full-time commitment, which can be particularly beneficial for smaller firms or those in transition that need executive expertise on a flexible or part-time basis.
This arrangement allows firms to leverage the executive's experience in strategic planning, operations, compliance, and innovation while managing overhead costs.
We offer CEO, COO, and CCO fractionalized executive services.
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Our firm specializes in establishing new broker-dealers by expertly handling the New Membership Application (NMA) process.
Additionally, we manage Change in Membership Applications (CMA) for expanding your existing broker-dealer to include new business lines.
For Investment Advisers, we manage the Form ADV (Part 1 & 2) for you.
Let us take the lead and get your Broker-Dealer or Investment Adviser registered within 90 days!
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We empower broker-dealers, advisers, and fintech companies to scale their human resources without the commitment of full-time employment.
Gain access to experienced SEC & FINRA-licensed consultants who can quickly fill gaps in your team.
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We bring a wealth of knowledge to start-up broker-dealers, alternative trading systems, and advisers, ensuring businesses can comply with relevant US securities laws and regulations efficiently and effectively.
Because of our decades of experience working with the Securities and Exchange Commission (SEC) and the Financial Regulatory Authority (FINRA), you will avoid costly legal and regulatory pitfalls, enabling your business to focus on its core operations and growth strategies.
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At GiGCXOs, we provide comprehensive FINRA and SEC regulatory audits tailored to your firm’s specific needs.
Our expert team offers top-notch third-party audits for a fraction of the cost of most providers.
Third Party Audits:
Anti-Money Laundering
Business Continuity Plan (BCP) Review
Comprehensive Compliance Program
Consolidated Audit Trail (CAT) Compliance
Customer Complaints and Dispute Resolution
Cybersecurity and IT
FINRA Examination and Audits
Internal Audit Functions
Market Access Rule Compliance
Operational Risk Management Review
Options and Derivatives Compliance
Reg BI
Supervisory Controls Audit
Written Supervisory Procedures and Policies
