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Unlock Potential, One Gig at a Time.

Need a fractional CEO, CCO, or COO for your Broker-Dealer or Investment Adviser?

  • At GiGCXOs, we provide comprehensive FINRA and SEC regulatory audits tailored to meet your firm’s specific needs. Our expert team offers top-notch audits for AML, Compliance, Trading, Cyber Security, FINRA exams, Customer Account Protection, and much more.

    Here is our complete list of audits that we offer:

    • Business Continuity Plan (BCP)

    • Comprehensive Compliance Program

    • Customer Complaints and Dispute Resolution

    • Cybersecurity and IT

    • FINRA Examination

    • FINRA's Consolidated Audit Trail (CAT)

    • High-Frequency Trading (HFT)

    • Internal Audit Function

    • Market Access Rule

    • Operational Risk Management

    • Options and Derivatives

    • Supervisory Controls Audit

  • Expert Leadership on Demand

    • Unlock your firm's potential with our Investment Adviser and Broker-Dealer fractional executive consultants. We provide experienced professionals for key leadership roles, including CEO and COO, on a flexible, full or part-time basis.

    Key Benefits:

    • Expert Guidance: Access seasoned professionals with extensive FINRA/SEC and industry experience.

    • Cost-Effective: Leverage high-caliber executive talent without the full-time expense.

    • Scalable Solutions: Tailored leadership support that scales with your business needs.

  • At GiGCXOs, we offer one-off and prescriptive consulting services tailored for discrete projects. Our expert consultants bring extensive experience and specialized knowledge to deliver precise, impactful solutions for your unique business challenges.

    Why Choose GiGCXOs for Your Projects?

    • Tailored Expertise: Access consultants with deep expertise in your industry and project area.

    • Focused Solutions: Benefit from targeted, actionable insights addressing your needs.

    • Efficiency: Our consultants work swiftly and effectively, ensuring timely delivery of results.

    • Flexibility: Engage our services as needed without long-term commitments or overhead costs.

Expert Compliance Leadership, Without the Overhead.

We offer fractional Chief Compliance Officers that fit your firm’s regulatory needs. Be that a broker-dealer, registered investment adviser, exempt reporting adviser, or internet adviser, we have you covered.

  • The Chief Compliance Officer (CCO) of a Broker-Dealer is responsible for developing, implementing, and overseeing the firm’s compliance program to ensure adherence to all FINRA, SEC, and other regulatory requirements.

    The CCO plays a critical role in managing compliance risks, conducting internal audits, supervising trading activities, and ensuring proper documentation and reporting.

    Duties of a Chief Compliance Officer (CCO) for a FINRA Broker-Dealer

    Regulatory Compliance:

    • Ensure the firm adheres to all FINRA, SEC, and other relevant regulatory requirements.

    • Stay current with regulatory changes and ensure the firm’s policies are updated accordingly.

    Compliance Program Management:

    • Develop and maintain a comprehensive compliance program that addresses all aspects of the firm’s operations.

    • Conduct regular reviews and updates of the compliance program to ensure its effectiveness.

    • Establish compliance monitoring systems and procedures.

    Supervision and Oversight:

    • Supervise and oversee the activities of registered representatives and other associated persons.

    • Ensure proper supervision of trading activities, sales practices, and other business activities.

    • Conduct regular audits and inspections of the firm’s activities, books, and records.

    Risk Management:

    • Identify and assess potential compliance risks within the firm.

    • Monitor and manage ongoing risks related to regulatory compliance.

    Training and Education:

    • Develop and conduct training programs for employees on regulatory requirements, compliance procedures, and best practices.

    • Ensure all employees are well-informed and up-to-date on industry regulations and the firm’s compliance policies.

    Internal Investigations:

    • Conduct internal investigations into potential violations of regulatory requirements or firm policies.

    • Document findings and take appropriate corrective actions as necessary.

    Handling Customer Complaints:

    • Investigate and resolve customer complaints related to trading activities and other services provided by the firm.

    • Maintain records of customer complaints and resolutions.

    Regulatory Filings and Reporting:

    • Prepare and submit required regulatory filings and reports to FINRA, SEC, and other regulatory bodies.

    • Ensure all reports are accurate, complete, and submitted on time.

    Policy Development and Implementation:

    • Develop and update the firm’s compliance policies and procedures to reflect changes in regulatory requirements and industry best practices.

    • Ensure policies are effectively communicated and implemented throughout the firm.

    Recordkeeping and Documentation:

    • Maintain accurate and comprehensive records of all compliance activities, including audits, inspections, training sessions, and customer complaints.

    • Ensure documentation meets all regulatory requirements and is readily accessible for regulatory reviews.

    Strategic Compliance Planning:

    • Contribute to the development of the firm’s long-term compliance strategy.

    • Provide insights and recommendations based on regulatory trends and industry developments.

  • The RIA Chief Compliance Officer is responsible for developing, implementing, and overseeing the compliance program of a Registered Investment Adviser (RIA) to ensure adherence to SEC regulations and other applicable regulatory requirements.

    Duties of a Chief Compliance Officer (CCO) for an SEC or State Registered Investment Adviser

    Regulatory Compliance:

    • Ensure the firm adheres to all SEC regulations and other applicable regulatory requirements.

    • Develop, implement, and enforce compliance policies and procedures in accordance with SEC rules and regulations.

    Compliance Program Management:

    • Develop and maintain a comprehensive compliance program that addresses all aspects of the firm’s operations.

    • Conduct regular reviews and updates of the compliance program to ensure its effectiveness and alignment with current regulations.

    Supervision and Oversight:

    • Supervise the firm’s advisory activities to ensure they are conducted in compliance with regulatory requirements.

    • Oversee the compliance aspects of the firm's investment strategies, client interactions, and portfolio management practices.

    Risk Management:

    • Identify, assess, and mitigate compliance risks within the firm.

    • Develop and implement risk management strategies to protect the firm and its clients.

    Training and Education:

    • Develop and conduct training programs for employees on regulatory requirements, compliance procedures, and ethical standards.

    • Ensure all employees are informed and up-to-date on industry regulations and the firm’s compliance policies.

    Internal Audits and Reviews:

    • Perform regular audits and reviews of the firm’s activities, books, and records.

    • Identify and address any compliance issues or deficiencies and implement corrective actions as necessary.

    Handling Client Complaints:

    • Investigate and resolve client complaints related to advisory services.

    • Maintain records of client complaints and resolutions to ensure compliance with regulatory requirements.

    Regulatory Filings and Reporting:

    • Prepare and submit required regulatory filings and reports to the SEC and other regulatory bodies.

    • Ensure all reports are accurate, complete, and submitted on time.

    Policy Development and Implementation:

    • Develop and update the firm’s compliance policies and procedures to reflect changes in regulatory requirements and industry best practices.

    • Ensure policies are effectively communicated and implemented throughout the firm.

    Conflict of Interest Management:

    • Identify and manage potential conflicts of interest within the firm.

    • Ensure that conflicts are disclosed and managed in accordance with regulatory requirements and the firm’s policies.

    Advisory Agreement Oversight:

    • Review and approve client advisory agreements to ensure compliance with regulatory requirements.

    • Ensure that agreements accurately reflect the services provided and the fees charged.

    Advertising and Marketing Review:

    • Approve all advertising and marketing materials to ensure they meet regulatory standards and accurately represent the firm’s services.

    • Monitor the firm’s use of performance advertising and ensure compliance with SEC rules.

    Code of Ethics Administration:

    • Administer and enforce the firm’s Code of Ethics.

    • Ensure all employees understand and comply with ethical standards and reporting requirements.

    Recordkeeping and Documentation:

    • Maintain accurate and comprehensive records of all compliance activities, including audits, inspections, training sessions, and client complaints.

    • Ensure documentation meets all regulatory requirements and is readily accessible for regulatory reviews.

    Issue Resolution:

    • Investigate and resolve compliance issues and breaches.

    • Implement corrective actions and preventive measures to avoid future occurrences.

    Compliance Strategy Development:

    • Contribute to the development of the firm’s long-term compliance strategy.

    • Provide insights and recommendations based on regulatory trends and industry developments.

  • The Chief Compliance Officer (CCO) for an Exempt Reporting Adviser or Internet Adviser is responsible for ensuring the firm adheres to SEC and other relevant regulatory requirements.

    The CCO oversees advisory activities, manages compliance risks, and ensures the firm's investment strategies and client interactions meet regulatory standards.

    By maintaining accurate records and implementing data privacy and cybersecurity measures, the CCO safeguards the firm's reputation and promotes a culture of compliance and ethical conduct throughout the organization.

    Duties of a Chief Compliance Officer (CCO) for an Exempt Reporting or Internet Adviser

    Regulatory Compliance:

    • Ensure the firm adheres to all SEC and other relevant regulatory requirements specific to exempt reporting advisers.

    • Develop, implement, and enforce compliance policies and procedures tailored to the firm's status as an exempt reporting adviser.

    Compliance Program Management:

    • Develop and maintain a comprehensive compliance program that addresses all aspects of the firm’s operations.

    • Conduct regular reviews and updates of the compliance program to ensure its effectiveness and alignment with current regulations.

    Supervision and Oversight:

    • Oversee the firm’s advisory activities to ensure they are conducted in compliance with regulatory standards.

    • Monitor the firm’s investment strategies, client interactions, and portfolio management practices to ensure compliance.

    Risk Management:

    • Identify, assess, and mitigate compliance risks within the firm.

    • Develop and implement risk management strategies to protect the firm and its clients.

    Training and Education:

    • Develop and conduct training programs for employees on regulatory requirements, compliance procedures, and ethical standards.

    • Ensure all employees are informed and up-to-date on industry regulations and the firm’s compliance policies.

    Internal Audits and Reviews:

    • Perform regular audits and reviews of the firm’s activities, books, and records.

    • Identify and address any compliance issues or deficiencies and implement corrective actions as necessary.

    Handling Client Complaints:

    • Investigate and resolve client complaints related to advisory services.

    • Maintain records of client complaints and resolutions to ensure compliance with regulatory requirements.

    Regulatory Filings and Reporting:

    • Prepare and submit required regulatory filings and reports to the SEC and other regulatory bodies.

    • Ensure all reports are accurate, complete, and submitted on time.

    Policy Development and Implementation:

    • Develop and update the firm’s compliance policies and procedures to reflect changes in regulatory requirements and industry best practices.

    • Ensure policies are effectively communicated and implemented throughout the firm.

    Conflict of Interest Management:

    • Identify and manage potential conflicts of interest within the firm.

    • Ensure that conflicts are disclosed and managed in accordance with regulatory requirements and the firm’s policies.

    Advertising and Marketing Review:

    • Approve all advertising and marketing materials to ensure they meet regulatory standards and accurately represent the firm’s services.

    • Monitor the firm’s use of performance advertising and ensure compliance with SEC rules.

    Data Privacy and Cybersecurity:

    • Ensure compliance with data privacy regulations, such as GDPR and CCPA.

    • Implement cybersecurity measures to protect client data and prevent unauthorized access to the firm’s systems.

    Recordkeeping and Documentation:

    • Maintain accurate and comprehensive records of all compliance activities, including audits, inspections, training sessions, and client complaints.

    • Ensure documentation meets all regulatory requirements and is readily accessible for regulatory reviews.

    Issue Resolution:

    • Investigate and resolve compliance issues and breaches.

    • Implement corrective actions and preventive measures to avoid future occurrences.

    Compliance Strategy Development:

    • Contribute to the development of the firm’s long-term compliance strategy.

    • Provide insights and recommendations based on regulatory trends and industry developments.

Empower Your Business with On-Demand Expertise.

  • Are you a Broker Dealer seeking outsourced FinOp services? GiGCXOs can help. By outsourcing these activities to a licensed Series 27 / 28 professional, you can save money while gaining top-tier expertise. Whether you’re a start-up firm needing a FinOp or a mid-sized firm looking to bring on a seasoned CFO, our principals are here to support your growth and compliance needs.

    FinOp Responsibilities:

    • Audit of current accounting practices

    • Accuracy review and approval of financial reports

    • Net Capital Compliance reports

    • Monthly Net Cap & quarterly FOCUS reports

    • Annual FOCUS Schedule I reports

    • Quarterly SSOI reports

    • Quarterly Form Custody filing

    • SIPC 6 and SIPC 7 filing

    • Supervision of your financial team

    • Primary contact with regulatory agencies for financial reporting

    • Net Capital Computations

    • Financial Statement Preparation

    • Form Custody

    • Bank Reconciliations

    • Brokerage Statement Analysis

    • Annual Audit Support

    • FINRA Examination Support

    • Accounting Due Diligence

    • Bookkeeping

    GiGCXOs has partnered with ACI (Accounting & Compliance International) to provide best-in-class FinOp services.

  • GiGCXOs offers the perfect solution: outsource your Series 24 General Securities Principal. Outsourcing your compliance functions costs a fraction of what you would pay for an in-house hire.

    By outsourcing to a dedicated compliance expert, you reduce risks, avoid resource bottlenecks, and achieve better results. This allows your firm to refocus on revenue and growth.

    Duties of a Series 24 General Securities Principal (FINRA)

    • Supervision of Trading Activities: Oversee all trading activities within the firm to ensure compliance with regulatory standards and internal policies.

    • Regulatory Compliance: Ensure the firm adheres to all FINRA, SEC, and other relevant regulatory requirements. Implement and enforce compliance policies and procedures.

    • Approval of New Accounts: Review and approve the opening of new customer accounts, ensuring that all necessary documentation and compliance checks are completed.

    • Supervision of Registered Representatives: Monitor the activities of registered representatives and associated persons to ensure compliance with regulatory requirements and firm policies.

    • Review of Advertising and Sales Literature: Approve all advertising, sales literature, and other promotional materials to ensure they meet regulatory standards and accurately represent the firm's services and products.

    • Training and Education: Conduct training programs for employees on regulatory requirements, compliance procedures, and best practices. Ensure staff are well-informed and up-to-date on industry regulations.

    • Audit and Inspection: Perform regular audits and inspections of the firm’s activities, books, and records. Identify and address any compliance issues or deficiencies.

    • Handling Customer Complaints: Investigate and resolve customer complaints related to trading activities and other services provided by the firm.

    • Risk Management: Identify potential risks related to trading activities and implement measures to mitigate these risks. Develop and maintain risk management strategies.

    • Approval of Securities Transactions: Review and approve all securities transactions to ensure they are suitable for clients and comply with regulatory requirements.

    • Supervision of Margin Accounts: Oversee the management of margin accounts, ensuring compliance with margin rules and regulations.

    • Branch Office Supervision: Supervise the activities of branch offices, ensuring they operate in compliance with regulatory requirements and firm policies.

    • Development of Compliance Programs: Develop, implement, and maintain comprehensive compliance programs to ensure the firm’s adherence to regulatory requirements.

    • Coordination with Regulatory Bodies: Serve as the point of contact for regulatory bodies during examinations, audits, and inquiries. Ensure timely and accurate responses to regulatory requests.

    • Recordkeeping and Documentation: Maintain accurate and complete records of all compliance activities, including audits, inspections, training sessions, and customer complaints.

    • Reporting: Prepare and submit required regulatory filings and reports to FINRA, SEC, and other regulatory bodies. Ensure all reports are accurate and submitted on time.

    • Internal Investigations: Conduct internal investigations into potential violations of regulatory requirements or firm policies. Implement corrective actions as necessary.

    • Policy Development: Develop and update the firm’s policies and procedures to reflect changes in regulatory requirements and industry best practices.

  • Your firm needs access to the investment banking marketplace to grow, but you’re not scaled enough to sustain the cost of hosting dedicated Series 79 resources in-house. The solution: An outsourced Investment Banking Representative from GiGCXOs.

    • Seller services

    • Acquisition searches

    • Due diligence

    • Financial structuring & modeling

    • Negotiation support

    • Profit improvement advisory support

    • Adherence to FINRA requirements

    All services provided by a seasoned Series 79 licensed executive.

  • Unlock unparalleled compliance expertise with GiGCXOs' fractional resources for Senior Registered Options Principals (SROP) and Compliance Registered Options Principals (CROP).

    Empower your business with our expert resources and ensure your operations remain compliant and competitive in the dynamic options market.

    Duties for a Senior Registered Options Principal (SROP) - Series 4

    • Regulatory Oversight: Leads the firm's compliance efforts, ensuring adherence to all regulatory requirements.

    • Strategic Compliance Management: Develops and oversees comprehensive compliance programs for options trading.

    • Supervision of Trading Activities: Provides high-level supervision and approval of complex trades.

    • Risk Mitigation: Develops advanced risk management strategies and tools.

    • Leadership and Training: Mentors junior compliance officers and conducts advanced training sessions.

    • Compliance Audits: Directs and conducts thorough audits of trading activities and compliance protocols.

    • Policy Development and Implementation: Creates and enforces policies and procedures for options trading.

    • Client Interaction: Serves as the primary compliance contact for high-profile clients.

    • Documentation and Recordkeeping: Oversees the maintenance of accurate records.

    • Regulatory Reporting: Prepares and reviews regulatory filings and reports.

    • Cross-Functional Collaboration: Works closely with other departments to ensure a unified approach to compliance.

    • Issue Resolution: Leads investigations into compliance breaches and develops corrective actions.

    • Market Surveillance: Oversees market activity monitoring to detect irregularities.

    • Compliance Strategy Development: Contributes to the firm’s long-term compliance strategy.

    Duties for a Compliance Registered Options Principal (CROP) - Series 4

    • Regulatory Compliance: Ensures the firm complies with FINRA, SEC, and other regulatory requirements related to options trading.

    • Trade Supervision: Oversees and approves options trading activities, ensuring they adhere to compliance standards.

    • Risk Management: Identifies, assesses, and mitigates risks associated with options trading.

    • Training and Education: Conducts training sessions for employees on compliance and regulatory matters.

    • Internal Audits: Performs regular audits of options trading activities and compliance procedures.

    • Policy Development: Develops and updates the firm’s options trading policies and procedures.

    • Client Communication: Addresses compliance-related concerns from clients.

    • Recordkeeping: Maintains accurate records of all options trading activities.

    • Reporting: Prepares and submits required regulatory reports.

    • Collaboration: Works with other compliance officers and trading desks to ensure a cohesive approach to compliance.

  • In today’s fast-paced financial markets, having a skilled Series 57 Securities Trader Principal is crucial for maintaining a competitive edge and ensuring regulatory compliance.

    At GiGCXOS, we specialize in providing top-tier Series 57 consultants who bring unparalleled expertise and experience to your firm.

    The key job duties for a Series 57 Securities Trader Principal include:

    Trading Execution:

    • Execute orders to buy and sell securities on behalf of clients or the firm, including stocks, options, and other financial instruments.

    • Ensure trades are executed promptly, accurately, and in compliance with regulatory requirements.

    Market Making:

    • Act as a market maker by providing liquidity to the market through buying and selling securities from the firm’s inventory.

    • Maintain bid and ask prices for securities to facilitate market stability and price discovery.

    Compliance and Reporting

    • Adhere to all FINRA regulations, including maintaining proper documentation and records of all trading activities.

    • File required reports and disclosures to regulatory bodies as mandated.

    • Monitor and ensure compliance with trading limits, risk management protocols, and internal controls.

    Risk Management:

    • Assess and manage the risks associated with trading activities, including market, credit, and operational risks.

    • Implement strategies to mitigate potential losses and ensure the firm’s financial stability.

    Market Analysis:

    • Analyze market conditions, trends, and economic indicators to make informed trading decisions.

    • Utilize technical analysis, charts, and other tools to identify trading opportunities and risks.

    Client Interaction:

    • Communicate with clients to understand their trading needs and provide relevant market information.

    • Offer trading advice and strategies based on market analysis and client objectives.

    Technology and Systems

    • Utilize electronic trading systems, platforms, and software to execute trades efficiently.

    • Ensure the security and integrity of trading systems and data.

    Ethical Standards:

    • Uphold the highest standards of integrity, professionalism, and ethical conduct in all trading activities.

    • Avoid conflicts of interest and maintain confidentiality of client information.

    Continuous Education:

    • Stay updated with the latest market developments, regulatory changes, and industry best practices.

    • Participate in ongoing education and training programs to maintain the Series 57 license and improve trading skills.

    Collaboration:

    • Work closely with other traders, brokers, and financial professionals within the firm to ensure cohesive trading strategies.

    • Coordinate with compliance and legal departments to address any regulatory issues or concerns.