GiGCXOs Welcomes Steve Maiello as an Independent Consultant
We are excited to announce that Steve Maiello, a highly regarded compliance professional with over 25 years of experience in the financial services industry, has joined GiGCXOs as an independent consultant. Steve’s extensive expertise and deep knowledge of regulatory compliance make him a valuable addition to our team, and we are eager to offer his skills and insights to our clients.
About Steve Maiello
Steve Maiello is a seasoned compliance expert known for his ability to guide firms through the complexities of regulatory requirements while enhancing their operational efficiency. Throughout his career, Steve has developed a strong reputation for his commitment to regulatory excellence and his proactive approach to managing compliance challenges. His experience spans various areas, including Communications with the Public (Ad Review), preparing annual CEO certifications under FINRA 3130, creating content for Annual Compliance Meetings, and developing and reviewing written supervisory procedures. Steve’s deep understanding of these areas enables him to provide customized compliance solutions that align with each firm's unique needs.
Professional Experience
Steve’s background includes significant roles in leading financial institutions. Most recently, he served as the Director of Compliance at Lime Trading Corp, where he was instrumental in defining policies and procedures for marketing activities and ensuring comprehensive compliance across the firm. Before his time at Lime Trading, Steve spent over 20 years at Charles Schwab, where he held several leadership positions, including Director of Digital Services Compliance. In this role, he provided strategic guidance to Schwab’s digital services platforms, ensuring that innovative products and services complied with both internal policies and external regulatory requirements. Additionally, he acted as a subject matter expert in social media compliance, advising on strategy, policy, and procedure development to meet regulatory standards.
In 2024, Steve decided to become an independent compliance consultant, offering compliance expertise to firms seeking to enhance their regulatory frameworks while minimizing the need for full-time staff. His focus on improving operational efficiency, boosting profitability, and ensuring regulatory adherence aligns perfectly with the values and mission of GiGCXOs.
What Steve Brings to GiGCXOs
At GiGCXOs, Steve will utilize his extensive experience to assist our clients with a wide range of compliance needs. He is dedicated to developing and enhancing comprehensive compliance programs, preparing and filing necessary regulatory reports, conducting thorough compliance reviews and audits, and crafting effective written supervisory procedures and policies. Additionally, Steve will provide invaluable training and education on compliance topics, assess cybersecurity risks, develop data privacy policies, and keep our clients informed of the latest regulatory developments and changes.
Steve’s approach is hands-on, and his deep understanding of the regulatory landscape will be crucial in helping our clients maintain compliance and mitigate risks in an ever-changing environment.
Join Us in Welcoming Steve Maiello
We are thrilled to have Steve Maiello join the GiGCXOs team. His expertise and commitment to compliance excellence will be a tremendous asset to our clients, helping them navigate their compliance challenges with confidence. We look forward to seeing the positive impact Steve will have and to the continued growth of our compliance consulting services.
Please join us in welcoming Steve to GiGCXOs. For more information about Steve and how he can support your firm’s compliance needs, feel free to email us or visit our website.
