Join GiGCXOs

Key Attributes For a "GiG" Independent Consultant

  • Deep Industry Knowledge and Expertise

    Regulatory Knowledge: Understanding of regulatory frameworks such as SEC, FINRA, AML, and other relevant laws.

    Financial Acumen: Strong knowledge of financial products, services, markets, and investment strategies.

    Technical Skills: Proficiency in using financial analysis tools, trading platforms, compliance software, and AI-based solutions.

  • Problem-Solving and Analytical Skills

    Critical Thinking: Ability to analyze complex problems, identify underlying issues, and propose effective solutions.

    Data Analysis: Strong analytical skills to interpret data and make informed decisions, especially in areas like risk management, compliance, and market analysis.

  • Client-Centric Approach

    Relationship Building: Ability to build and maintain strong relationships with clients, understanding their needs, and delivering tailored solutions.

    Communication Skills: Excellent verbal and written communication skills to convey complex information clearly and effectively.

    Adaptability: Flexibility to adapt to different client environments, cultures, and needs.

  • Project Management Skills

    Organization: Strong organizational skills to manage multiple clients and projects simultaneously.

    Time Management: Efficient time management to meet deadlines and deliver high-quality work within agreed timelines.

    Leadership: Ability to lead projects, teams, or initiatives, even as an independent entity.

  • Technology Proficiency

    Tech-Savviness: Understanding and leveraging new technologies like AI, blockchain, and cybersecurity tools to enhance consulting services.

    Digital Literacy: Familiarity with digital tools for project management, client communication, and data analysis.

  • Resilience and Adaptability

    Handling Ambiguity: Comfort with uncertainty and ability to navigate ambiguous situations.

    Resilience: Ability to recover from setbacks and persist through challenges, especially in a competitive and fast-changing environment.

Current Openings

Job Title: Fractional Broker-Dealer Executive (1099 Contractor)

Company Description

At GiGCXOs, we redefine business consulting standards by offering tailored, comprehensive solutions that cater specifically to the unique needs of financial services firms. Our standout offerings include 'Broker-Dealer in a Box' and 'Adviser in a Box,' which provide a seamless, end-to-end service for building fully FINRA and SEC-compliant broker-dealers and registered or exempt reporting advisers within 90 days. Let us handle the confusing new membership application (NMA) and the Uniform Application for Broker-Dealer Registration (Form BD) for you.

GiGCXOs also offers a wide variety of outsource compliance and business consulting. We provide Series 4 Registered Options Principal, Series 57 Principal Securities Trader, Series 79 Investment Banking, and Series 24 General Securities Principal services to broker-dealers and advisers. We offer third-party audits like AML, Cybersecurity, and Internal Controls Over Compliance assessments.

We build, manage, and grow broker-dealer and adviser firms.

Role Description

We are seeking an experienced and dynamic Fractional Broker-Dealer Executive to join our team on a contract basis. This role is ideal for a seasoned professional who is adept in broker-dealer operations and possesses strong business development skills. As a 1099 contractor, you will be responsible for sourcing new business leads, acquiring clients, and overseeing all aspects of broker-dealer operations, including compliance, sales, risk management, and strategic development.

Key Responsibilities:

Business Development

  • Source, cultivate, and close new business leads and client engagements.

  • Develop and execute strategies to expand client base and increase revenue.

  • Build and maintain relationships with prospective clients and industry partners.

Leadership & Management

  • Serve as the interim CEO, COO, and CCO for broker-dealer clients, providing strategic direction and oversight.

  • Lead and manage all operational aspects of broker-dealer functions, ensuring alignment with client goals and regulatory requirements.

  • Oversee daily operations, including sales processes, compliance protocols, and risk management strategies.

Compliance & Regulatory Oversight

  • Ensure all broker-dealer activities comply with FINRA regulations and other applicable laws.

  • Implement and monitor compliance programs, policies, and procedures.

  • Liaise with regulatory bodies and manage client audits and examinations.

  • Provide guidance on compliance matters to clients and internal teams.

Risk Management

  • Identify, assess, and mitigate potential risks associated with broker-dealer operations.

  • Develop and enforce risk management frameworks tailored to client needs.

  • Continuously monitor and update risk management strategies to address emerging risks.

Client Advisory

  • Advise clients on best practices in broker-dealer management, compliance, and growth strategies.

  • Provide thought leadership and insights on industry trends, regulatory changes, and market opportunities.

Qualifications

  • Experience as a broker-dealer or adviser operator, including roles such as CEO, COO, CCO, or similar leadership positions

  • 15+ years of experience in financial services or regulatory compliance in a broker-dealer and/or adviser firm

  • Deep understanding of FINRA regulations and broker-dealer compliance requirements

  • Series 24 required. Additional FINRA licenses are a bonus (Series 3, 4, 57, 79, and other applicable licenses)

  • Demonstrated ability to lead and manage teams effectively

  • Ability to work independently as a 1099 contractor with high professionalism and accountability

Compensation

  • This is a contract (1099) position. Compensation will be based on experience and the scope of client engagements, with performance-based incentives for new business acquisitions.

Job Title: Fractional Adviser Executive Operator (1099 Contractor)

Company Description

At GiGCXOs, we redefine business consulting standards by offering tailored, comprehensive solutions that cater specifically to the unique needs of financial services firms. Our standout offerings include 'Broker-Dealer in a Box' and 'Adviser in a Box,' which provide a seamless, end-to-end service for building fully FINRA and SEC-compliant broker-dealers and registered or exempt reporting advisers within 90 days. Let us handle the confusing new membership application (NMA) and the Uniform Application for Broker-Dealer Registration (Form BD) for you.

GiGCXOs also offers a wide variety of outsource compliance and business consulting. We provide Series 4 Registered Options Principal, Series 57 Principal Securities Trader, Series 79 Investment Banking, and Series 24 General Securities Principal services to broker-dealers and advisers. We offer third-party audits like AML, Cybersecurity, and Internal Controls Over Compliance assessments.

We build, manage, and grow broker-dealer and adviser firms.

Role Description

We are seeking an experienced and versatile Fractional Executive to join our team on a contract basis. This role is ideal for a seasoned professional with deep expertise in managing SEC-registered and state-registered investment advisers, exempt reporting advisers, or internet advisers. As a 1099 contractor, you will be responsible for sourcing new business leads, acquiring clients, and overseeing all aspects of RIA operations, including compliance, sales, risk management, and strategic growth.

Key Responsibilities:

Business Development

  • Identify, cultivate, and secure new business opportunities and client engagements.

  • Develop and execute strategies to expand the client base and increase revenue.

  • Establish and maintain strong relationships with prospective clients and industry stakeholders.

Leadership & Management

  • Serve as the interim CEO, COO, and CCO for an registered, exempt or internet adviser firm, providing strategic direction and operational oversight.

  • Manage all aspects of adviser operations, ensuring alignment with client objectives and regulatory requirements.

  • Oversee day-to-day operations, including sales processes, client onboarding, compliance protocols, and risk management strategies.

Compliance & Regulatory Oversight

  • Ensure all adviser activities comply with SEC and state regulations, as well as applicable exempt reporting or internet adviser requirements.

  • Develop, implement, and monitor comprehensive compliance programs, policies, and procedures.

  • Interface with regulatory bodies and manage client audits, examinations, and filings.

  • Provide expert guidance on compliance matters to clients and internal teams.

Risk Management

  • Identify, assess, and mitigate potential risks associated with adviser operations.

  • Develop and enforce risk management frameworks tailored to client needs.

  • Continuously monitor and update risk management strategies to address emerging risks in the advisory landscape.

Client Advisory

  • Advise clients on best practices in RIA management, compliance, and growth strategies.

  • Offer insights and thought leadership on industry trends, regulatory changes, and market opportunities.

Qualifications

  • Experience as a broker-dealer or adviser operator, including roles such as CEO, COO, CCO, or similar leadership positions

  • 15+ years of experience in financial services or regulatory compliance in a broker-dealer and/or adviser firm

  • Deep understanding of FINRA regulations and broker-dealer compliance requirements

  • Series 24 required. Additional FINRA licenses are a bonus (Series 3, 4, 57, 79, and other applicable licenses)

  • Demonstrated ability to lead and manage teams effectively

  • Ability to work independently as a 1099 contractor with high professionalism and accountability

Compensation

  • This is a contract (1099) position. Compensation will be based on experience and the scope of client engagements, with performance-based incentives for new business acquisition.