AI-Powered Compliance Outsourcing

Compliance —
Accelerated by AI

Seasoned FINRA & SEC-licensed leadership and front-line staff supercharged by AI workflows. Built for broker-dealers and investment advisers who need defensible oversight without the hiring overhead.

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90%
Fewer false positives and AI noise
$3.9k
Avg annual compliance savings
per user
70%
Reduction in compliance
busy-work costs
19 hrs
Saved each week with
AI workflows
The Problem

Your compliance program
shouldn't slow you down

Most regulated firms are stuck between expensive full-time hires and under-qualified vendors. GiGCXOs is the third path — expert fractional leadership powered by AI that runs your compliance engine.

  • Hiring cycles take months

    Full-time CCOs and COOs take 3 to 6 months to recruit, onboard, and certify — time your firm doesn't have during an exam cycle.

  • Manual reviews eat resources

    Email surveillance, marketing reviews, and WSP audits consume weeks of analyst time that could be automated with AI.

  • Exam readiness is reactive

    Most firms scramble when FINRA knocks. Proactive supervisory evidence should be built continuously, not assembled in a panic.

  • Registration is a maze

    NMAs, Form ADVs, and state registrations have dozens of interdependencies that derail timelines without seasoned guidance.

What We Do

Four ways we keep your firm
moving forward

View All Solutions
01

AI-Driven Compliance

We integrate AI into your supervisory workflows — reducing manual review time, centralizing oversight, and bringing consistency to your compliance program. Cut busy-work costs by up to 70%, which equates to 19 hrs saved each week on average.

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02

Fractional Executives & Staff

Embed a seasoned CCO, COO, or CEO into your team on a fractional basis. FINRA and SEC-licensed professionals who hit the ground running — no onboarding lag.

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03

Regulatory Registrations & Filings

Launch your firm in 90 days. We own your NMA, CMA, Form ADV, and state registrations — from first filing to approval — with no hidden complexities.

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04

Consulting & Regulatory Strategy

Decades of SEC and FINRA experience translate into strategic guidance that keeps you ahead of regulatory change — not chasing it.

Digital Assets

FinTech
Who We Serve

Built for firms at every stage of growth

Independent Broker-Dealers

Independent Broker-Dealers

Early-stage IBDs that need expert compliance infrastructure without the overhead of a full compliance department.

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Growth-Stage Investment Advisers

Growth-Stage Investment Advisers

RIAs scaling AUM who need compliance programs that grow with them and keep pace with SEC expectations.

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FinTech Entrants and Startups

FinTech Entrants & Startups

Technology-first firms entering regulated markets who need regulatory strategy baked in from day one.

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Digital Asset and Tokenized Securities firms

Digital Asset & Tokenized Securities

Emerging firms in novel asset classes requiring specialist knowledge of overlapping federal frameworks.

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How We Work

From kickoff to audit-ready

01

Scope & Fit Assessment

We map your firm's regulatory footprint, identify gaps, and configure the right mix of fractional leadership, AI tooling, and execution.

02

Embed & Execute

Licensed executives and staff embed into your operations, deploying AI-assisted workflows to run your supervisory program from day one.

03

Continuous Readiness

We build and maintain an evidence trail that makes every exam cycle routine — not a scramble. Regulatory changes trigger immediate updates.

Within three weeks of joining our team, GiGCXOs brought order and precision to our FINRA CMA. They were able to quickly get acclimated to our team, align with our vision, and execute on an efficient approach to getting our CMA filed. GiGCXOs single-handedly saved our firm weeks of work and legal expenses because of their deep industry expertise and immediate ability to understand the scope of our project and deliver results in a timely fashion. In a space as complex as private markets (Alts), deep industry expertise is paramount for properly navigating the regulatory environment. Being able to rely on GiGCXOs' experienced staff has been a massive value-add for us, accelerating our time to market significantly.

CEO and Founder, Independent Broker-Dealer
Why Choose GiGCXOs

See how GiGCXOs stacks up

Compare GiGCXOs against legacy providers across communications, employee oversight, firm controls, and modern compliance operations.

Features GiGCXOs Smarsh ACA Group StarCompliance Red Oak RegEd
Human Agents
Fractional CCOs and Staff ✓— ✓— ——
Broker Dealer / RIA / CFTC Registrations ✓— ✓— ——
Digital Assets Experts ✓— —— ——
Licensed Staff for Expanding Business Activities ✓— ✓— ——
Platform Experience
Modern Interface ✓— ✓— ——
Archiving & Comms Surveillance
Email Archiving ✓✓ ✓— ✓✓
AI-Powered Surveillance ✓✓ ✓— ✓—
Custom Enterprise AI Model ✓— —— ——
Keywords / Lexicon Surveillance ✓✓ ✓— ✓✓
Boolean Search ✓✓ ✓— ✓✓
Saved Search Queries ✓✓ ✓— ✓✓
Data Management & Integration
Data Export Fees NoNo NoNo NoNo
Email Hosting / Encryption Services ✓✓ —— ——
Proprietary Texting App —✓ —— ——
Multi-Channel Communications Capture
Business Social Media Archiving ✓✓ ✓— ✓—
Personal Social Media Archiving ✓✓ ✓— ✓—
SMS / Text Message Archiving ✓✓ ✓— ✓✓
iMessage Archiving ✓✓ ✓— ✓✓
WhatsApp ✓✓ ✓— ✓✓
Other IM / Chat (Slack, Teams, etc.) ✓✓ ✓— ✓✓
Bloomberg Chat Archiving ✓✓ ✓— —✓
Discord Archiving ✓— —— ——
Employee Compliance & Oversight
Personal Transaction Monitoring ✓— ✓✓ —✓
Certifications & Attestations ✓— ✓✓ ✓✓
Employee Disclosures (OBAs, Gifts, etc.) ✓— ✓✓ ✓✓
Conflicts of Interest Monitoring ✓— ✓✓ ✓✓
Firm Oversight
Firm Risk Assessment ✓— ✓— ——
Control Inventory ✓— —✓ ——
Testing Calendar ✓— ✓— ——
Compliance Manual & Policy Hosting ✓— ✓— —✓
Annual Compliance Reporting ✓— ✓— ——
Marketing & Conduct Oversight
Advertising / Marketing Submission & Reviews ✓— ✓✓ ✓✓
Smart Marketing Disclosures ✓— —✓ ✓✓
Guided Advisor Onboarding Workflow ✓— ✓— ✓✓
Trade Surveillance ✓— ✓— —✓
FINRA Gateway Integration ✓— —✓ ——

Ready to stop guessing
at compliance

Pick the lane that fits your model. We'll meet you with the right mix of
leadership, AI tooling, and hands-on execution.

Schedule a Free Consultation Download Free AI Compliance Guide