From early-stage broker-dealers to prediction market operators — GiGCXOs delivers AI-native compliance, fractional leadership, and third-party audits tailored to your regulatory framework.
No two compliance programs are identical. GiGCXOs builds and operates compliance infrastructure specific to each firm type — matching your regulatory obligations, your regulators, and your stage of growth.
Independent broker-dealers, special purpose broker-dealers, and early-stage FINRA applicants need more than a CCO on paper. GiGCXOs delivers complete supervisory infrastructure — WSPs, annual reviews, third-party audits, AML programs, and ongoing exam readiness — sized for firms that can't carry a full in-house compliance department.
Explore Broker-Dealer ServicesRegistered investment advisers and exempt reporting advisers scaling AUM need compliance programs that evolve with their regulatory obligations. GiGCXOs supports Form ADV filings, fiduciary reviews, marketing rule compliance, and the annual review process — so your compliance program keeps pace with growth without adding headcount.
Explore Investment Adviser ServicesTechnology-first companies entering regulated financial markets face a compliance landscape they weren't built to navigate alone. GiGCXOs embeds compliance strategy from day one — covering licensing, AML program design, regulatory filing, and ongoing supervision across the overlapping state and federal frameworks that govern payments, lending, and securities-adjacent tech.
Explore FinTech ServicesTokenized securities, crypto exchanges, digital asset brokers, and blockchain-native businesses operate in one of the most complex and rapidly evolving regulatory environments in financial services. GiGCXOs provides specialist digital asset compliance across SEC, CFTC, and FinCEN jurisdictions — including AML programs tailored for virtual asset service providers and registration pathways for novel asset structures.
Explore Digital Asset ServicesPrediction market operators face one of the most novel compliance challenges in financial services — navigating CFTC jurisdiction, designated contract market (DCM) designation, swap execution facility (SEF) registration, and political event contract rules that are still being written in real time.
GiGCXOs' Predict360™ practice is purpose-built for this space. We guide operators from pre-launch regulatory strategy through ongoing CFTC compliance, helping firms understand what's permissible, how to structure contracts, and how to stay ahead of enforcement guidance as the regulatory framework evolves.
Explore Predict360™Our suite of AI-native tools — CommSafe360™, AMLGuard360™, CyberGuard360™, FirmGuard360™ — is available to all firm types and adapts to your specific regulatory obligations. One platform, every framework.
Independent audits — AML, cybersecurity, supervisory controls, mock exams — conducted by experienced compliance professionals. Exam-defensible reporting delivered on a schedule that fits your regulatory calendar.
Access licensed CCOs, AML officers, and CISOs on a fractional basis — with the depth of a senior executive and none of the fixed overhead. Scale the engagement up or down as your firm grows.
Launching a new entity or expanding your registration footprint? GiGCXOs manages the registration process end-to-end — from initial filing strategy through approval — for broker-dealers, RIAs, funding portals, and more.
Many firms operate across more than one category. Schedule a free discovery call and we'll map the right compliance program to your exact regulatory footprint.