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AI-Powered Compliance Outsourcing

Compliance & Operations—
Accelerated by AI

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

Schedule a Consultation See Our Solutions
70%
Reduction in compliance
busy-work costs
90 days
Average firm
registration timeline
SEC + FINRA
Dual-regulated
expertise on staff
Broker-Dealer Compliance
Fractional CCO / COO / CEO
AI-Driven Supervision
FINRA NMA / CMA Filings
Reg BI Compliance
Digital Asset Firms
Investment Adviser Registration
Electronic Comms Review
Broker-Dealer Compliance
Fractional CCO / COO / CEO
AI-Driven Supervision
FINRA NMA / CMA Filings
Reg BI Compliance
Digital Asset Firms
Investment Adviser Registration
Electronic Comms Review
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 3–6 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

Five 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%.

Learn more
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.

Learn more
03
📝

Regulatory Registrations

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.

Learn more
04
🛡️

Enhanced Supervision & Audits

We strengthen your supervisory routines, evidence trails, and remediation processes so you're always exam-ready. AML, cybersecurity, Reg BI, and WSP audits included.

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05
📊

Consulting & Regulatory Strategy

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

Learn more
→
⚡

Find Your Solution

Broker-Dealer, RIA, FinTech, or Digital Asset firm? Use our solution picker to find the exact combination of services that fits your firm's stage and model.

Pick your lane
Who We Serve

Built for firms at every stage of growth

Independent Broker-Dealers

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

Growth-Stage Investment Advisers

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

⚡

FinTech Entrants & Startups

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

Digital Asset & Tokenized Securities

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

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.

Why GiGCXOs

The numbers
behind
the platform

70%
Reduction in compliance cost burden via AI
90d
Average new firm registration timeline
2×
Regulatory frameworks covered: SEC + FINRA

GiGCXOs embedded a fractional CCO within a week of engagement. Within 60 days our supervisory program was fully documented, our communications archive was centralized, and we sailed through a FINRA cycle examination that would have otherwise exposed critical gaps.

Managing Principal · Independent Broker-Dealer · Series 24

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
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The information provided on this website is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any securities. Nothing on this site should be interpreted as a recommendation to invest, an endorsement of any particular investment, or a solicitation to engage in any investment activity. GiGCXOs does not provide investment advice, and any decisions to buy, sell, or hold securities should be made based on your own due diligence and in consultation with a qualified financial advisor.

GiGCXOs is not a law firm and does not provide legal advice or legal services. Content, assessments, and outputs (including any risk scores or compliance materials) are for informational and compliance purposes only and are not a substitute for advice from qualified counsel. Use of this site and our products does not create an attorney–client relationship. For legal advice tailored to your circumstances, please consult a licensed attorney in your jurisdiction.

GiGCXOs

AI compliance outsourcing for broker-dealers, investment advisers, FinTech, and digital asset firms. Experienced leadership. Accelerated by AI.

Accepting new clients

What We Do

  • AI Compliance (AICompliance360)
  • Fractional Executives & Staff
  • Regulatory Registrations
  • Consulting Services
  • Pricing

Who We Serve

  • Broker-Dealers
  • Investment Advisers
  • Digital Asset Firms
  • FinTech Firms

Company

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  • Our Mission
  • Blog
  • Careers
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© 2026 GiGCXOs. All rights reserved. Content is for informational and compliance purposes only and does not constitute legal advice or an offer to sell securities. GiGCXOs is not a law firm. FinOp (Series 27/28) and accounting services are outsourced to leading industry firms. AICompliance360 is powered by the Hadrius AI Platform. Legal · D&I Pledge · Sustainability · Schedule a Call

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