Compliance and Operations — Delivered by Experts, Accelerated by AI
Seasoned leadership and front-line staff that accelerate execution with AI-enabled workflows.
Fractional Leaders. Real Execution.
AI Compliance That Eliminates Busywork.
Enhanced Supervision. Always Audit-Ready.
Regulatory Strategy That Moves Firms Forward.
Who We Serve
Early-stage Independent Broker-Dealers
Growth-Stage Investment Advisors
Emerging Digital-Asset & Tokenized-Securities Firms
Fintech Entrants and Startups
Built for firms that can’t afford compliance guesswork.
Are you looking to register a firm or need help managing an existing firm?
Pick the lane that fits your model, and we’ll meet you with the right mix of leadership, tooling, and execution.
Contact us today and see how we can help your firm.
Pick Your Solution
How We Do It
We embed experienced leaders and doers, so your supervisory and operational program runs with defensible oversight, without waiting on hiring cycles.
We automate the repetitive workflows that stall teams, so execution stays consistent and measurable.
We strengthen supervisory and operational routines, evidence, and remediation so you are always ready for an exam.
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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, Investment Advisers, FinTech firms, Digital Asset companies, and Alternative Trading Systems (ATS). We can identify efficiencies that drastically reduce compliance burden, cutting busy work regulatory costs by up to 70%.
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Use our fractional FINRA or SEC seasoned executives and staff with deep industry knowledge without the full-time commitment, which can be particularly beneficial for start-ups and smaller firms or those in transition that need executive expertise on a flexible or part-time basis.
We offer CEO, COO, and CCO fractionalized executive services as well as compliance and operational staff - the “doers” that keep the firm running smoothly.
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Registrations Made Simple — Launch Your Firm in 90 Days
We help regulated firms register and operate — without the guesswork, delays, or hidden complexities. From broker-dealers to money transmitters, our experts guide you through every regulatory step.Our firm specializes in establishing new broker-dealers by expertly handling the New Membership Application (NMA) or Change in Membership Application (CMA), or establishing your investment adviser by managing the Form ADV process.
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We empower broker-dealers, advisers, digital asset firms, 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.
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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.
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At GiGCXOs, we provide comprehensive FINRA and SEC regulatory audits tailored to your firm’s specific needs.
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
