joellewis

joellewis/finance_skills

joellewis/finance_skills

joellewis/finance_skills

JoelLewis/finance_skills

Process account maintenance requests across the account lifecycle. Use when changing a client address or contact info with identit...

joellewis/finance_skills

joellewis/finance_skills

Process and manage account transfers between and within financial institutions. Use when handling full or partial ACAT transfers b...

Design, build, and optimize dashboards for RIA practice management with AUM tracking, revenue analytics, and KPI frameworks. Use w...

Guide BSA/AML compliance program design, ongoing transaction monitoring, and FinCEN reporting for broker-dealers, banks, and inves...

Determine how much capital to allocate to individual positions within a portfolio. Use when the user asks about position sizing, t...

Guide which client disclosure documents must exist, what each must contain, and when and how they must be delivered to clients of ...

joellewis/finance_skills

Identify, disclose, and mitigate conflicts of interest in advisory and brokerage relationships under Reg BI and fiduciary duty. Us...

Process and manage corporate actions from announcement through settlement. Use when handling dividends, stock splits, reverse spli...

Guide counterparty credit risk measurement and management for OTC and securities trading, organized around three workflows: assess...

Analyze currency markets, exchange rate mechanics, and FX risk management for international portfolios. Use when the user asks abo...

Design and operate data quality programs for financial data — validation rules, pricing validation, data lineage, exception manage...

Provide frameworks for managing and paying off personal debt effectively. Use when the user asks about debt payoff strategies (ava...

Analyze digital assets including cryptocurrency fundamentals, blockchain mechanics, DeFi protocols, and on-chain metrics. Use when...

Build diversified portfolios using correlation analysis, efficient frontier construction, and factor-based diversification. Use wh...

Size and structure an emergency fund based on individual circumstances, income stability, and expense profile. Use when the user a...

Analyze equity securities, factor models, and equity portfolio construction. Use when the user asks about stocks, equity valuation...

Estate and gifting architecture for wealth management: the unified estate/gift/GST framework, lifetime exemption vs annual exclusi...

Prepare for and respond to SEC and FINRA regulatory examinations across the full exam lifecycle. Use when the user asks about exam...

Guide the design and management of trading venue connectivity and market data infrastructure. Owns the FIX session layer (logon, h...

Apply factor models to portfolio construction and fund evaluation, from CAPM through the Fama-French 3- and 5-factor models plus m...

Build and manage advisory fee billing operations from fee schedule design through calculation, collection, revenue recognition, an...

Apply the investment adviser fiduciary duty (IA Act Section 206), ERISA fiduciary standards, the DOL fiduciary rule and PTE 2020-0...

joellewis/finance_skills