CXO FlexForce™

Fractional Chief Executive Officer (CEO)

GiGCXOs will provide a highly experienced and strategic Fractional Chief Executive Officer (CEO) to lead our FINRA-registered broker-dealer on a part-time basis. The Fractional CEO will provide visionary leadership, operational oversight, and strategic direction to drive the firm’s growth, compliance, and overall success. The fractional CEO will have a strong understanding of the broker-dealer industry, extensive experience with FINRA regulations, and a proven track record of guiding financial services firms through complex operational and regulatory environments.

Key Responsibilities:

Strategic Leadership:

• Develop and execute the overall business strategy for the firm, aligning operational objectives with long-term growth and profitability.

• Collaborate with senior management to set and achieve key business goals, ensuring that the firm remains competitive in the financial services industry.

• Provide leadership in identifying new business opportunities, including market expansion, product offerings, and partnerships.

Regulatory Compliance and Oversight:

• Ensure the firm’s operations are fully compliant with FINRA, SEC, and other relevant regulatory bodies.

• Work closely with the Chief Compliance Officer (CCO) and Chief Operating Officer (COO) to implement and maintain the firm's Written Supervisory Procedures (WSPs), ensuring adherence to regulatory requirements.

• Oversee the firm’s compliance with the regulatory framework, including supervision of registered representatives, risk management, and reporting obligations.

Operational Efficiency and Performance:

• Lead the development and optimization of internal processes to enhance operational efficiency, minimize risk, and support growth.

• Oversee the firm’s financial performance, including budget management, cost control, and ensuring the firm meets net capital requirements as per SEC Rule 15c3-1.

• Ensure the firm maintains strong back-office operations, including technology integration, trade settlement, and customer support.

Business Development and Client Relations:

• Drive business development efforts to grow the firm’s client base, including institutional and retail clients.

• Foster strong relationships with clients, regulators, and industry partners, representing the firm in key meetings and negotiations.

• Identify and leverage market trends to create competitive advantages for the firm.

Team Leadership and Culture:

• Lead, mentor, and support senior management, creating a high-performance culture that emphasizes accountability, integrity, and continuous improvement.

• Collaborate with HR and management to attract, retain, and develop top talent within the firm.

• Promote a client-focused culture that ensures exceptional service delivery and operational excellence.

Risk Management and Corporate Governance:

• Identify and mitigate operational, financial, and regulatory risks facing the firm, implementing appropriate controls and monitoring systems.

• Ensure the firm adheres to corporate governance best practices, including reporting obligations and shareholder engagement.

• Lead the firm’s business continuity and disaster recovery planning in compliance with FINRA Rule 4370.

Fractional Chief Operating Officer (COO) 

GiGCXOs will provide an experienced Fractional Chief Operating Officer (COO) to join our FINRA-registered broker-dealer on a part-time basis. The COO will bring deep industry knowledge, strategic operational oversight, and leadership to support our firm’s continued growth and regulatory compliance. As Fractional COO, they will work closely with senior management to streamline operational processes, manage regulatory requirements, and ensure the firm is meeting its business objectives efficiently.

Key Responsibilities:

Operational Leadership:

• Oversee day-to-day operations of the firm, ensuring efficient workflows and processes are in place.

• Implement strategic initiatives to improve operational performance and scalability.

• Collaborate with the CEO and senior leadership to align operations with overall business goals.

Regulatory Compliance:

• Ensure that the firm complies with all FINRA, SEC, and other relevant regulatory requirements.

• Maintain policies and procedures in line with industry regulations, including supervision of compliance programs, customer record-keeping, and other operational mandates.

• Work closely with the Chief Compliance Officer (CCO) to conduct internal audits and manage any regulatory examinations.

Process Improvement & Efficiency:

• Identify opportunities for automation and technology integration to streamline back-office operations, trade execution, and customer onboarding.

• Develop and implement policies that reduce operational risks and enhance firm-wide efficiency.

Financial Oversight:

• Work with the FinOp to monitor financial performance, budgeting, and cost management to ensure financial health and compliance with net capital requirements.

• Assist with reviewing and implementing internal financial controls and reporting mechanisms.

Team Management:

• Provide leadership and direction to the operations team, ensuring roles are clearly defined and performance targets are met.

• Mentor and support staff development while fostering a culture of operational excellence.

Risk Management:

• Identify operational and regulatory risks and implement measures to mitigate them.

• Maintain and update the firm’s business continuity plan (BCP) and ensure it aligns with FINRA Rule 4370.

Client & Vendor Management:

• Manage relationships with key stakeholders, including clearing firms, technology vendors, and other third-party providers.

• Oversee client services operations to ensure an exceptional experience for the firm’s clients.

Fractional Chief Compliance Officer (CCO) 

GiGCCXOs will provide a seasoned Fractional Chief Compliance Officer (CCO) to support our FINRA-registered broker-dealer with regulatory compliance oversight on a part-time basis. The fractional CCO will have extensive experience in broker-dealer compliance, a strong understanding of FINRA and SEC regulations, and the ability to implement and maintain an effective compliance program. As a Fractional CCO, they will be responsible for ensuring that the firm meets all regulatory requirements, mitigates risks, and adheres to industry best practices.

Key Responsibilities:

Regulatory Oversight:

• Ensure compliance with all FINRA, SEC, and other regulatory requirements applicable to the broker-dealer.

• Implement, manage, and update the firm’s Written Supervisory Procedures (WSPs) to ensure they are current and in line with regulatory mandates.

• Serve as the primary point of contact for regulatory bodies during exams, audits, and inquiries.

Compliance Program Management:

• Develop and oversee the firm's compliance program, including supervision of registered representatives, customer communications, and marketing materials.

• Conduct regular compliance risk assessments to identify and mitigate potential regulatory risks.

• Ensure compliance with anti-money laundering (AML) regulations, including ongoing monitoring and reporting as required by the Bank Secrecy Act (BSA) and FINRA rules.

Surveillance and Monitoring:

• Conduct routine reviews of trades, communications, and transactions to ensure compliance with FINRA and SEC rules, including Regulation BI and other applicable regulations.

• Implement systems for monitoring electronic communications, social media, and marketing materials for regulatory compliance.

• Supervise outside business activities and private securities transactions.

Training and Education:

• Provide ongoing compliance training to staff, registered representatives, and senior management.

• Ensure the firm’s compliance team is up-to-date on regulatory changes and industry best practices through continuing education programs.

Internal Audits and Reporting:

• Conduct periodic internal audits of the firm's compliance systems and controls to ensure the firm’s policies and procedures are being followed.

• Prepare and submit required regulatory filings and reports, including FINRA Rule 4530 reporting, Form U4/U5 updates, and other required disclosures.

• Oversee the preparation of the firm’s Annual Compliance Report and CEO Certification as required by FINRA Rule 3130.

Client and Regulatory Communications:

• Manage all client complaints, arbitrations, and regulatory inquiries, ensuring timely resolution and proper reporting.

• Communicate effectively with regulators and represent the firm during FINRA and SEC examinations and audits.

Policy and Procedure Development:

• Develop, maintain, and revise the firm’s compliance policies and procedures to adapt to regulatory changes and firm growth.

• Create and update supervisory controls in accordance with FINRA Rule 3120, ensuring the firm's compliance framework is effective.

Risk Management:

• Identify, assess, and mitigate compliance risks within the firm’s operations, including the development of corrective action plans where necessary.

• Ensure the firm’s Business Continuity Plan (BCP) is in compliance with FINRA Rule 4370 and adequately addresses potential operational disruptions.