Meet the people behind GiGCXOs
Deep regulatory expertise from Charles Schwab, E*Trade, Ameriprise Financial, Securitize, Monark Markets, and optionsXpress — combined with AI-native compliance workflows.
27+ years building and operating regulated businesses across brokerage, advisory, custody, and digital-asset securities. Former CEO of MMM Securities, SVP/COO at Alto Securities, CEO/COO at Securitize Markets, Co-CEO at Penson Financial Limited (London, England), and a 12-year tenure at Charles Schwab ending as an executive overseeing its active trader products. Jay has a unique blend of traditional compliance and operations with centralized and decentralized (blockchain) systems. He's built and launched RIAs and broker-dealers, ranging from complex multi-currency clearing and digital security trading of Alts using blockchain technology to developing traditional offerings by brick-and-mortar RIA firms. FINRA Series 3, 4, 7, 24, 55, 63, 65, 79, 99, and SIE. MBA from Baylor University.
25+ years in financial services compliance. Former Director of Marketing Compliance at Lime Trading and Director of Digital Services Compliance at Charles Schwab (20+ years). Expert in Ad Review, FINRA 3130 CEO Certification, written supervisory procedures, and social media compliance strategy. His services include developing tailored compliance programs, conducting compliance audits, training, cybersecurity risk assessments, and keeping clients updated on regulatory changes. He has a proven track record of guiding firms through the complexities of regulatory requirements and ensuring compliance excellence. FINRA Series 4, 7, 24, 53, and 63.
17+ years specializing in compliance, operational risk management, and equity & derivatives trading. At Schwab, he led the design and oversight of a brand-new enterprise-wide compliance program related to the Volcker Rule. Extensive background at optionsXpress (acquired by Charles Schwab) and Schwab across client services, policy development, monitoring programs, training, and risk metrics for complex trading environments. Throughout his career, Steve has demonstrated extensive expertise in client services, policy writing and review, monitoring, program management, training, and risk metrics. FINRA Series 3, 4, 7, 9, 10, 24, 52, and 63.
12+ years as a compliance professional with progressively increasing levels of responsibility in financial services compliance. Formerly, CCO at Private Wealth Asset Management ($2.1 B AUM), Compliance Officer at EFS Advisors ($2.5 B AUM), and an Alternatives Clearing Agent for Amerprise Financial. In his role as a compliance consultant, he has worked closely with several Broker/Dealer, Investment Adviser, and Municipal Advisor firms, overseeing their compliance programs and supervisory controls. This includes everything from reviewing RFP responses, conducting procedural testing, composing training presentations, and completing regulatory filings with the FINRA, MSRB, and SEC.
With over three decades of leadership at Charles Schwab, Mike Canady played a pivotal role in shaping the firm's global strategy, financial planning, and risk management functions. As Managing Director of International Services, Mike spearheaded the integration of TDA International businesses and oversaw subsidiaries in the UK, Hong Kong, Singapore, and Australia. His deep expertise in governance and regulatory affairs has fostered strong relationships with key financial authorities, ensuring Schwab’s continued international growth and compliance. A graduate of NYU’s Stern School of Business and UC Santa Barbara