Consulting Services

Compliance Built for
Capital Markets Firms

From AI software and third-party audits to firm registrations and fractional staffing, we cover the full spectrum of compliance needs across SEC/FINRA broker-dealers, SEC/state investment advisers, and CFTC/NFA commodities, futures, prediction market, and swaps businesses.

Who We Serve

Built for every regulated firm type

Broker Dealer
Broker-Dealers

Independent and early-stage IBDs needing compliance infrastructure, supervisory programs, and fractional executive leadership.

Investment Adviser
Investment Advisers

Growth-stage RIAs and exempt reporting advisers who need compliance programs aligned with SEC and state expectations as they scale.

FinTech
FinTech Firms

Technology-first companies navigating broker-dealer, investment adviser, or CFTC/NFA pathways who need regulatory strategy built in from day one.

Digital Assets
Digital Asset Firms

Emerging firms in tokenized securities, crypto, commodities, futures, prediction markets, and swaps requiring specialist expertise across all three frameworks.

Service Catalog

Our full list of compliance services

AI Software
Attestations & Disclosures
Compliance Task Management
Compliance Calendar
Communications Review & Archiving
Electronic Communications Review
Gift & Entertainment Tracking
Marketing Review & Archiving
Outside Brokerage Accounts
Political Contributions Tracking
Audits
AML Audit
Business Continuity Audit
CEO Certification
Cybersecurity Audit
Internal Audits
Mock Exams
Private Placement Audit
Reg BI Audit
Supervisory Controls Audit
Supervisory Procedures Audit
Registration
Broker-Dealer (SEC / FINRA)
Crowdfunding Portal
Digital Assets
Investment Adviser (SEC / State)
CFTC / NFA Registrations
Futures Commission Merchant / Introducing Broker / Swap-Focused Launches
Staffing
Fractional Resources
Executive Match
Service Pillars

Four ways we make compliance work

GiGCXOs is built around four integrated service pillars — each designed to stand alone or layer together into a comprehensive compliance program. Most clients combine two or more.

AI Compliance Platform

Our suite of AI-native compliance tools gives your firm always-on, exam-ready infrastructure without the overhead of a full in-house team. Each oversight layer is built to surface issues early, improve reviewer accuracy, and keep documentation ready for exams and audits.

Firm Oversight

Firm Oversight analyzes your policies, controls, and workflows to automatically surface gaps, inconsistencies, and risks you might miss. AI ensures every review, filing, and test is done correctly and fully documented.

Marketing Oversight

Marketing Oversight evaluates all content formats: text, visuals, audio, and mixed media, with the same regulatory rigor, surfacing issues before they slow down approvals. You stay in control of decisions; AI elevates accuracy across your entire library of materials.

Employee Oversight

AI analyzes employee trades, disclosures, communications, and certifications to catch conflicts, policy gaps, and inconsistencies you might miss in real time. Reviewers get precise, contextual alerts that improve accuracy across every oversight function.

Communication Oversight

AI analyzes the actual content of emails, chats, social posts, and other messages to detect risky language, missing disclosures, and policy violations. Reviewers get precise, context-rich alerts that dramatically improve accuracy while slashing false positives.

Trade Oversight

AI reviews every trade against restricted lists, issuer relationships, client mandates, market conditions, and behavioral patterns to detect risk signals humans often miss. Reviewers get precise alerts with the specific reason a trade is suspicious.

Compliance Outsourcing

Full-service outsourced compliance — your firm gets a dedicated compliance team without the fixed costs of hiring. We design, build, and operate your compliance program, serving as an extension of your leadership.

Program Build-Out
Written Supervisory Procedures (WSPs)
Compliance Manual & Code of Ethics
Annual Compliance Program Design
Ongoing Operations
Monthly supervision & review cycles
Regulatory correspondence management
Exam support & document production
Training & Culture
Annual compliance training
New hire onboarding & licensing
Regulatory update briefings
Third-Party Audits

Independent audits conducted by licensed compliance professionals — not affiliated with your CCO or compliance department. Our audit reports meet FINRA, SEC, and state examiner expectations for third-party independence and are designed to be exam-defensible from day one.

Regulatory Audits
AML / BSA Program Audit
Reg BI Audit (Best Interest)
Supervisory Controls Audit (FINRA 3120)
Supervisory Procedures Audit (FINRA 3110)
Specialty Audits
Private Placement Audit
Cybersecurity / Reg S-P Audit
Business Continuity Audit
CEO Certification (FINRA 3130)
Exam Readiness
Mock FINRA / SEC Examinations
Document production dry runs
Gap analysis & remediation roadmap
Registrations & Fractional Staffing

Whether you're launching a new firm or need interim leadership, GiGCXOs supports all three regulatory lanes: SEC/FINRA for broker-dealers, SEC/state for investment advisers, and CFTC/NFA for commodities, futures, prediction markets, and swaps. We manage the regulatory groundwork while you focus on building the business.

Firm Registrations
Broker-Dealer (SEC / FINRA)
Investment Adviser (SEC / State)
Funding Portal (Regulation CF)
Digital Asset / Crypto Compliance
CFTC / NFA Registrations
FCM, IB, CTA, CPO, and swaps-related launches
Fractional Leadership
Fractional CCO (Chief Compliance Officer)
Fractional CISO (Cybersecurity)
Fractional AML Officer
Interim & project-based compliance staff
Executive Match
Full-time CCO placement
Compliance analyst sourcing
Licensing & credential verification
Our Process

How we get started

Most engagements move from discovery to active compliance coverage in under 30 days. No lengthy onboarding. No bloated retainers.

1
Discovery Call

A 30-minute scoping session to understand your firm's regulatory footprint, current gaps, and immediate priorities. No obligation.

2
Proposal & Scope

We deliver a tailored services proposal mapping specific offerings to your firm type, regulatory obligations, and budget, with transparent, fixed pricing.

3
Go Live

Onboarding is handled by our team. Platform access, document collection, and program setup are completed within days, not months.

Why GiGCXOs

GiGCXOs vs. your other options

Firms evaluating compliance support typically compare three paths: hiring in-house, retaining a law firm or consultant, or outsourcing to GiGCXOs. Here's how they stack up across the dimensions that matter most.

Capability / Factor GiGCXOs In-House Hire Law Firm / Consultant
Cost & Flexibility
Fixed, predictable monthly cost ✓ ✗ Salary + benefits + overhead ✗ Hourly / retainer billing
Scale up or down without HR process ✓ ✗ Partial
No long-term employment commitment ✓ ✗ ✓
Expertise & Coverage
Multi-disciplinary compliance team (not one hire) ✓ ✗ One person's expertise ✓
AI-native compliance tools included ✓ ✗ Must source separately ✗
Digital asset & FinTech expertise ✓ Varies Varies / higher cost
Covers BD, RIA, and FinTech simultaneously ✓ Rarely Rarely
Operations & Speed
Operational within 30 days ✓ ✗ Months to recruit & onboard ✓
Exam support included ✓ ✓ Extra billing
Third-party audit independence ✓ ✗ Cannot self-audit ✓
Firm registration support ✓ Varies ✓ At premium rates

Not sure which service fits your firm?

Schedule a free consultation and we'll map the right solution to your regulatory footprint.

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