Compliance & Operations—
Accelerated by AI
Seasoned FINRA & SEC-licensed leadership and front-line staff, supercharged by AI workflows. Built for broker-dealers who need defensible oversight without the hiring overhead.
busy-work costs
registration timeline
expertise on staff
Your compliance program
shouldn't slow you down
Most regulated firms are stuck between expensive full-time hires and under-qualified vendors. GiGCXOs is the third path — expert fractional leadership powered by AI that runs your compliance engine.
-
Hiring cycles take monthsFull-time CCOs and COOs take 3–6 months to recruit, onboard, and certify — time your firm doesn't have during an exam cycle.
-
Manual reviews eat resourcesEmail surveillance, marketing reviews, and WSP audits consume weeks of analyst time that could be automated with AI.
-
Exam readiness is reactiveMost firms scramble when FINRA knocks. Proactive supervisory evidence should be built continuously, not assembled in a panic.
-
Registration is a mazeNMAs, Form ADVs, and state registrations have dozens of interdependencies that derail timelines without seasoned guidance.
Five ways we keep your firm
moving forward
AI-Driven Compliance
We integrate AI into your supervisory workflows — reducing manual review time, centralizing oversight, and bringing consistency to your compliance program. Cut busy-work costs by up to 70%.
Learn moreFractional Executives & Staff
Embed a seasoned CCO, COO, or CEO into your team on a fractional basis. FINRA and SEC-licensed professionals who hit the ground running — no onboarding lag.
Learn moreRegulatory Registrations
Launch your firm in 90 days. We own your NMA, CMA, Form ADV, and state registrations — from first filing to approval — with no hidden complexities.
Learn moreEnhanced Supervision & Audits
We strengthen your supervisory routines, evidence trails, and remediation processes so you're always exam-ready. AML, cybersecurity, Reg BI, and WSP audits included.
Learn moreConsulting & Regulatory Strategy
Decades of SEC and FINRA experience translate into strategic guidance that keeps you ahead of regulatory change — not chasing it.
Learn moreFind Your Solution
Broker-Dealer, RIA, FinTech, or Digital Asset firm? Use our solution picker to find the exact combination of services that fits your firm's stage and model.
Pick your laneBuilt for firms at every stage of growth
Independent Broker-Dealers
Early-stage IBDs that need expert compliance infrastructure without the overhead of a full compliance department.
Growth-Stage Investment Advisers
RIAs scaling AUM who need compliance programs that grow with them and keep pace with SEC expectations.
FinTech Entrants & Startups
Technology-first firms entering regulated markets who need regulatory strategy baked in from day one.
Digital Asset & Tokenized Securities
Emerging firms in novel asset classes requiring specialist knowledge of overlapping federal frameworks.
From kickoff to audit-ready
Scope & Fit Assessment
We map your firm's regulatory footprint, identify gaps, and configure the right mix of fractional leadership, AI tooling, and execution.
Embed & Execute
Licensed executives and staff embed into your operations, deploying AI-assisted workflows to run your supervisory program from day one.
Continuous Readiness
We build and maintain an evidence trail that makes every exam cycle routine — not a scramble. Regulatory changes trigger immediate updates.
The numbers
behind
the platform
GiGCXOs embedded a fractional CCO within a week of engagement. Within 60 days our supervisory program was fully documented, our communications archive was centralized, and we sailed through a FINRA cycle examination that would have otherwise exposed critical gaps.
Ready to stop guessing
at compliance?
Pick the lane that fits your model. We'll meet you with the right mix of
leadership, AI tooling, and hands-on execution.