AI Compliance Platform

AICompliance360 -
Experts & Technology All-in-One

Unify your compliance operations under one AI-powered platform built around your team. Get real-time visibility into risk exposure, stay ahead of regulatory shifts, and move from reactive to proactive - all without adding headcount. Don't fall for firms offering add-on AI technology to their legacy systems. Leverage GiGCXOs' AI-Native compliance operating system.

AI Native Compliance Software
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.

Platform Modules

Everything your compliance program needs in one place

Our expert team works closely with you to identify gaps, streamline processes, and implement strategies that minimize risk and maximize operational efficiency.

01 / 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.

Click to Play
02 / Marketing Oversight

Unify content review, disclosure management, and WORM-compliant archiving in one human-centric, AI-assisted workflow for shorter review cycles and audit-ready documentation at scale.

Click to Play
03 / Employee Oversight

Gain real-time visibility into all employee activity through AI-driven monitoring, automated certifications, and policy enforcement.

Click to Play
04 / Communications Oversight

Capture every channel and eliminate blind spots with real-time archiving. AI analyzes emails, chats, social posts, and other messages to detect risky language, missing disclosures, and policy violations.

Click to Play
05 / Transactions Monitoring

See every trade the moment it happens and close cases with evidence, not emails. The software fuses trading, communications, and policy context into one flow, so exceptions surface quickly and decisions stand up on exam day.

Click to Play
Why GiGCXOs

The numbers
behind
the platform

70%
Reduction in compliance cost
burden via AI
19 hrs
Saved each week with
AI-driven workflows
$3.9K
Average annual savings
per user
90 days
FastTrack Registration Filings
Broker Dealer / RIA
3
Regulatory frameworks covered
SEC + FINRA + CFTC
5T+
AUM of client assets on
AI software platform
Why Choose GiGCXOs

See how GiGCXOs stacks up

Compare GiGCXOs against legacy providers across communications, employee oversight, firm controls, and modern compliance operations.

Features GiGCXOs Smarsh ACA Group StarCompliance Red Oak RegEd
Human Agents
Fractional CCOs and Staff ✓— ✓— ——
Broker Dealer / RIA / CFTC Registrations ✓— ✓— ——
Digital Assets Experts ✓— —— ——
Licensed Staff for Expanding Business Activities ✓— ✓— ——
Platform Experience
Modern Interface ✓— ✓— ——
Archiving & Comms Surveillance
Email Archiving ✓✓ ✓— ✓✓
AI-Powered Surveillance ✓✓ ✓— ✓—
Custom Enterprise AI Model ✓— —— ——
Keywords / Lexicon Surveillance ✓✓ ✓— ✓✓
Boolean Search ✓✓ ✓— ✓✓
Saved Search Queries ✓✓ ✓— ✓✓
Data Management & Integration
Data Export Fees NoNo NoNo NoNo
Email Hosting / Encryption Services ✓✓ —— ——
Proprietary Texting App —✓ —— ——
Multi-Channel Communications Capture
Business Social Media Archiving ✓✓ ✓— ✓—
Personal Social Media Archiving ✓✓ ✓— ✓—
SMS / Text Message Archiving ✓✓ ✓— ✓✓
iMessage Archiving ✓✓ ✓— ✓✓
WhatsApp ✓✓ ✓— ✓✓
Other IM / Chat (Slack, Teams, etc.) ✓✓ ✓— ✓✓
Bloomberg Chat Archiving ✓✓ ✓— —✓
Discord Archiving ✓— —— ——
Employee Compliance & Oversight
Personal Transaction Monitoring ✓— ✓✓ —✓
Certifications & Attestations ✓— ✓✓ ✓✓
Employee Disclosures (OBAs, Gifts, etc.) ✓— ✓✓ ✓✓
Conflicts of Interest Monitoring ✓— ✓✓ ✓✓
Firm Oversight
Firm Risk Assessment ✓— ✓— ——
Control Inventory ✓— —✓ ——
Testing Calendar ✓— ✓— ——
Compliance Manual & Policy Hosting ✓— ✓— —✓
Annual Compliance Reporting ✓— ✓— ——
Marketing & Conduct Oversight
Advertising / Marketing Submission & Reviews ✓— ✓✓ ✓✓
Smart Marketing Disclosures ✓— —✓ ✓✓
Guided Advisor Onboarding Workflow ✓— ✓— ✓✓
Trade Surveillance ✓— ✓— —✓
FINRA Gateway Integration ✓— —✓ ——

Ready to eliminate compliance busywork?

Our AI platform reduces manual review time by up to 70%. Schedule a demo and see it in action.

Schedule a Demo Explore Fractional Staffing