We Are GiGCXOs.

AICompliance360™

Technology and Expertise, All in One.

Next-generation AI compliance platform and expert capital markets compliance resources.

The obstacles confronting Broker Dealers, Futures Commission Merchants, Investment Advisers and Money Services Businesses are intricate and varied.

Our holistic strategy addresses your challenges, empowering you to maximize the potential of your regulated business.

Expert Consulting, Outsourcing, Compliance, Operations And Software For The Capital Markets Industry.

Results that speak for themselves

  • $40K in Annual Savings

  • 19+ Hours Saved Weekly

  • $400B in Assets Using the Technology

Empower Your Compliance Team With Software and Staff Together.

  • Build Your Adviser Business with Ease, from Start to Finish

    Are you ready to establish your Investment Adviser business but are overwhelmed by the complex regulatory requirements and procedural intricacies? Adviser in a Box™ services are designed to build your Investment Adviser firm from the ground up within just 90 days.

    Adviser in a Box™ is a comprehensive, end-to-end solution that simplifies creating an Investment Adviser business. Our team of experts handles everything from initial setup to regulatory approvals, ensuring your Investment Adviser firm is fully operational and compliant with all industry standards in just three months.

  • Technology and Expertise, All in One.

    Transform your compliance program with AICompliance360™, making it more intelligent, efficient, and effective in navigating the complexities of regulation.

    AI-Driven

    • AICompliance360™provides broker-dealers, investment advisers and futures commission merchants, with real-time, automated compliance tools, including transaction reviews, marketing and advertising oversight, regulatory filings, and more.

    Human Touch

    • Combining deep industry expertise with cutting-edge AI technology, AICompliance360™ offers an unparalleled compliance experience.

    • This powerful fusion of human insight and advanced automation ensures regulatory obligations are met efficiently and effectively, while reducing the cost of compliance oversight.

  • AMLGuard360™ from GiGCXOs provides an all-encompassing solution for your anti-money laundering (AML) compliance needs.

    Our tailored audits are designed to adapt to the ever-evolving regulatory landscape, ensuring your firm meets and exceeds today's stringent AML requirements.

    With expert auditors who understand the nuances of the financial services industry, AMLGuard360™ delivers precise, actionable insights to safeguard your business from regulatory risks and financial crime. Stay compliant, protect your reputation, and confidently face your next audit with AMLGuard360™.

  • Launch Your Broker-Dealer in 90 Days, Hassle-Free.

    Our Broker Dealer in a Box™ services are designed to build your Broker-Dealer from the ground up within just 90 days.

    Broker Dealer In A Box™ is a comprehensive, end-to-end service that simplifies registering a Broker-Dealer.

    Our team of experts handles everything from initial setup to regulatory approvals, ensuring your Broker-Dealer is fully operational and compliant with all industry standards in just three months.

  • Simplifying Communication Oversight.

    Complete communications capture and archiving with expert Series 24 resource reviews..

    Small firms spend 10 - 20 hours a week monitoring their communications using old technology. Cut that time by 70% with CommSafe360™

    License our AI driven electronic communications software, and stay ahead of the regulators.

    We track email, Telegram, Slack, Teams, Intercom, WhatsApp, Dialpad, Ring Central, Google Chat and others on the way, if you need it, ask!

    Our compliance software is 17a-4 compliant by default, and we facilitate this using Amazon AWS S3 Object Lock.

  • Comprehensive Marketing Review and Archiving Solution

    CompliAd360™ is GiGCXOs’ cutting-edge marketing compliance solution designed to ensure that your firm’s advertising and communications stay fully compliant with FINRA and SEC regulations.

    Powered by AI, CompliAd360™ automatically reviews and monitors all marketing materials in real time, flagging potential compliance issues and providing proactive alerts. The platform seamlessly integrates with your existing workflows, reducing manual oversight and streamlining the review process.

  • GiGCXOs' CXO FlexForce™ service offers on-demand, fractional C-suite leadership designed to empower your firm with seasoned professionals when you need them most.

    CXO FlexForce™ delivers tailored executive expertise without the long-term commitment.

    Let CXO FlexForce™ help you lead with confidence and achieve more.

    What's Included?

    • Fractional CEO, COO, and CCO compliance resources.

    • Fully licensed principals for broker-dealers, investment advisers or futures commission merchants.

    • Resources with at least 15 years of industry experience.

    • Whether you’re a broker-dealer exploring the potential of digital securities or a firm looking to enter the cryptocurrency market, CryptoSecure360 is your gateway to compliant, secure, and successful digital asset operations.

    • Partner with GiGCXOs to navigate the regulatory landscape confidently and build a strong foundation for growth in the digital economy.

    • Learn more about CryptoSecure360 can help you meet compliance requirements and seize the opportunities in the digital asset space.

    • Let us be your trusted partner on the journey to secure and compliant digital asset operations.

  • Fortifying your digital defenses with comprehensive cybersecurity audits.

    With a team of seasoned cybersecurity experts, CyberGuard360™ offers tailored assessments to meet regulatory requirements and safeguard your critical assets.

    GiGCXOs offers comprehensive cybersecurity and IT audit services to help broker-dealers comply with Regulations S-P and S-ID, which mandate the safeguarding of customer information.

    Download the FINRA Cybersecurity Audit Expectations for free

  • Ensuring your firm meets fiduciary standards with tailored Fiduciary Duty and Reg BI assessments.

    GiGCXOs' FiduciaryGuard360™ provides your firm with a comprehensive solution to meet both Reg BI and fiduciary duty obligations.

    GiGCXOs offers expert services to ensure your firm meets its Fiduciary Diligence, Duty of Care, and Reg BI obligations.

    • Introducing GiGCXOs Reg CF Portal Launch Pad—the ultimate compliance and operational solution for broker-dealers looking to establish and manage a Regulation Crowdfunding (Reg CF) portal.

    • Our Launch Pad offers comprehensive support to guide you through the setup, registration, and ongoing compliance required to run a successful Reg CF platform.

    • With expert-backed solutions that streamline regulatory filings, investor disclosures, and AML protocols, GiGCXOs ensures you meet all SEC and FINRA standards.

    • Launch your crowdfunding portal confidently with GiGCXOs’ Reg CF Portal Launch Pad—your trusted partner in compliance and growth.

    • Learn more

    • We tailor solutions to meet each client’s unique US Securities Exchanges market data management needs.

    • Whether in an advisory or project-based role, we offer spend management consulting and financial data management solutions designed to address specific US Securities Exchanges market data requirements.

    • Explore how we can support your market data management goals.

    • Learn more

  • Ensuring your supervisory procedures are compliant, robust, and up to date.

    WSPGuard360™ offers a comprehensive solution for auditing and assessing your firm's Written Supervisory Procedures (WSPs). GiGCXOs delivers a detailed analysis, ensuring that your supervisory framework meets the latest regulatory requirements and is built to withstand scrutiny.

    With WSPGuard360™, you can protect your firm from compliance risks by maintaining robust, effective, and up-to-date procedures.

    Let GiGCXOs handle the complexities, so you can focus on your business.

Stay Ahead with AI-Driven Compliance.

Utilize advanced AI tools to proactively manage compliance, allowing you to anticipate and address regulatory challenges before they become issues.

Download a free AI compliance outsourcing checklist.

    • 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%.

    • 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.

    • 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!

    • 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.

    • 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.

    • 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

Revolutionizing Compliance and Operators as a Service for Broker-Dealers and Investment Advisers.

Are you an existing broker-dealer, investment adviser, exempt reporting adviser or futures commission merchant seeking operator and compliance experts?

Look no further.

Find Your Compliance Solution with Instant Pricing.

Say goodbye to expensive hourly rates.

GiGCXOs charges flat fees reducing costs to maintain compliance without sacrificing your compliance program.

Form Example

Start Your Broker Dealer or Investment Adviser Journey with Confidence.

Expert Compliance and Operational Leaders, Without the Overhead.

    • We have partnered with cutting-edge RegTech AI firms to provide instant solutions for your compliance challenges.

    • After thorough vetting, we have selected only the top-tier brands to ensure the highest quality and effectiveness.

    • Let us help you build or augment your compliance program or operational staff.

    • Need executive level expertise at a fraction of the cost? We offer CEO, COO, CCO and FinOp fractional resources.

    • Learn more about CXO FlexForce™

    • Starting a new broker-dealer can seem like an overwhelming task. As well, let us help you expand your business operations with a change in membership application.

    • Our seasoned consultants can carry the heavy workload for you.

    • Seeking to buy a broker-dealer?

    • GiGCXOs is equipped to handle all your investment adviser registration needs and address any related compliance tasks and concerns.

Schedule a Demo