Compliance and Operations — Delivered by Experts, Accelerated by AI

We help regulated broker-dealers, investment advisers, and emerging digital-asset firms run compliance and operations on a fractional basis.

  • Fractional CCO/COO/CEO support so you can scale with defensible oversight and not guesswork.

  • AI-enabled workflows and senior compliance leadership to reduce manual work and improve consistency.

  • Operations and Compliance staff who manage the day-to-day, getting the fundamentals right.

  • Independent AML testing, exam readiness, and remediation designed around your actual risk profile.

You do not need “more compliance.” You need faster clarity, stronger execution, and proof you can show auditors and regulators. Here is how we deliver it.

We pair AI-enabled compliance workflows with experienced compliance professionals so you can move faster without lowering the bar.

Our model is built around reducing friction in high-volume compliance work while keeping qualified oversight in the loop for decisions that require judgment.

We support firms across traditional securities compliance and emerging digital-asset operational/regulatory strategy.

GiGCXOs targets small to medium-sized broker-dealers and investment advisers or new market entrants that require expert compliance and operational support.

Firms often struggle with marketing review controls, documentation consistency, privacy/cyber safeguards expectations, and the time burden of routine compliance administration.

Broker-dealers and investment advisers come to us when they need:

  • faster supervisory consistency

  • scalable monitoring and documentation

  • audit-ready third-party support without ballooning costs.

We help you add compliant “rails” to your workflow—supervision, approvals, record retention posture, and policies—so speed does not create unforced errors.

We help you standardize your compliance operations so you can spend more time on clients and less time rebuilding documentation on demand.

Form Example

Find Your FINRA, SEC, or CFTC Compliance Solution with Instant Pricing

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

Are you an existing broker-dealer, investment adviser, or exempt reporting adviser seeking operational and compliance experts at a fraction of the cost?

Look no further.

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

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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%.

    • 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

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.

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Start or Maintain Your Broker Dealer, Futures Commission Merchant, or Investment Adviser Journey with Confidence

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