JoelLewis/finance_skills

Account Maintenance processes client account changes across the lifecycle, including address updates, beneficiary changes, account retitling, holds, withdrawals, death processing, and closures. Use it when operational rules and verification controls matter.

Account Opening Compliance embeds CIP, KYC, OFAC, and beneficial ownership checks into onboarding workflows. Use it when designing account-opening approval gates, exception handling, and recordkeeping for regulated financial accounts.

Account Opening Workflow designs back-office pipelines from application intake through custodian submission and account activation. Use it to reduce NIGO rejections, define document requirements, and troubleshoot delays across custodians or account types.

Account Transfers processes and manages account moves between financial institutions, including ACATs, non-ACAT transfers, journals, rollovers, and cost basis reporting. Use it when handling transfer rejects, residuals, fractional shares, or beneficiary and Roth conversion paperwork.

Advertising Compliance helps review investment marketing materials for SEC Marketing Rule and FINRA 2210 issues. Use it for performance ads, hypothetical returns, testimonials, social posts, pitchbooks, and recordkeeping questions.

Advice Standards determines when a product, platform, or communication crosses from education into investment advice under Advisers Act Section 202(a)(11). Use it to assess registration questions, publisher and broker-dealer exclusions, and disclaimer language for financial content.

Advisor Dashboards designs and builds KPI dashboards for RIA practice management, including AUM, revenue, retention, organic growth, and advisor productivity. Use it to monitor firm health, benchmark performance, and set role-based views or alerts.

Anti-Money Laundering guides BSA/AML compliance design, transaction monitoring, OFAC screening, and FinCEN reporting. Use it for suspicious activity reports, currency transaction reports, structuring, escalation, and tipping-off questions.

Books And Records guides broker-dealer recordkeeping under SEC Rules 17a-3, 17a-4, and 204-2. Use it to determine what records to create, how long to keep them, and storage or archiving requirements.

CRM & Client Lifecycle designs CRM systems and client workflow for advisory firms. Use it for client segmentation, household linking, service tiers, review cadence, retention risk, and CRM platform evaluation.

Client Disclosures guides which client disclosure documents investment advisers and broker-dealers must provide and when to deliver them. Use it for Form ADV, Form CRS, prospectuses, privacy notices, account statements, and other client-facing disclosure timing questions.

Client Onboarding designs end-to-end digital account opening flows from prospect intake through funding. It covers KYC/CIP checks, document collection, e-signature, custodian submission, and suitability data for complex account types.

Client Reporting Delivery designs and produces client performance reports for quarterly, annual, tax, and ad hoc reporting. It is used when planning report content, delivery channels, portal integration, performance presentation, disclaimers, or production QA.

Client Review Preparation assembles client context, performance summaries, allocation drift, and talking points for advisor review meetings. Use it to prepare agendas, pre-meeting checklists, and compliance checks before a client review.

Corporate Actions processes dividends, splits, mergers, spin-offs, and voluntary offers from announcement through settlement. Use it to calculate entitlements, collect elections, reconcile receipts, and handle record date, ex-date, and cost basis adjustments.

Fee Billing builds and manages advisory fee billing operations from schedule design through calculation, collection, revenue recognition, and disclosure. Use it for AUM billing, breakpoint schedules, household aggregation, refunds, and billing exceptions.

Financial Planning Integration connects planning tools with CRM, PMS, custodians, and aggregation platforms so client data and plan outputs stay synchronized. It also governs CMA and tax reference updates and maps plan results into IPS and model assignment.

Financial Planning Workflow orchestrates financial plan assembly and delivery, including data gathering, cash flow analysis, retirement modeling, Social Security, Roth conversions, Monte Carlo analysis, and scenario recommendations. Use it when building or updating a comprehensive financial plan or preparing a plan presentation.

Next-Best-Action designs event-driven recommendation engines for advisors. Use it to detect portfolio, life, market, and compliance triggers, rank competing actions, route them to the right person, and track acceptance.

Order Management Advisor covers the advisor trade lifecycle from order entry through settlement, including block trading, allocation, pre-trade compliance, custodian routing, and trade error correction. Use it when designing or evaluating an OMS for RIAs or managing model portfolio rebalances across many accounts.

Portfolio Management Systems covers selecting and operating PMS platforms for advisory firms, including model portfolios, UMA sleeves, drift monitoring, rebalancing, reconciliation, and custodian feeds. Use it when configuring a PMS, migrating platforms, or troubleshooting portfolio data and feed issues.

Proposal Generation creates end-to-end investment proposals with risk profiling, model portfolio mapping, fee illustrations, projections, and compliance review. Use it when building or reviewing prospect proposals, transition analyses, or template-based proposal documents.

Reconciliation designs and operates matching processes across portfolio, custodian, and clearing records. Use it to find and resolve position, cash, transaction, market value, accrued income, or cost basis breaks.

Stp Automation measures straight-through processing rates and helps replace review-all workflows with exception-based processing. Use it to analyze manual touchpoints, design exception queues, and choose RPA, API, or hybrid automation for legacy systems.

Workflow Automation designs human-in-the-loop orchestration for securities operations, including task routing, approval chains, and SLA monitoring. Use it for maker-checker controls, escalation rules, audit trails, and modeling processes as state machines.