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SkillsMP has collected 91 skills from JoelLewis/finance_skills. Open a skill to review its source and details.
JoelLewis/finance_skillsShowing 40 of 91 collected skills.
Generate end-to-end investment proposals covering risk profiling, model portfolio recommendation, fee illustration, projections, and compliance review. Use when the user asks about creating a proposal for a prospect, mapping risk questionnaire scores to model…
Embed compliance controls into account opening and verify regulatory readiness. Use when designing CIP/KYC identity verification gates, implementing OFAC and sanctions screening at onboarding, collecting beneficial ownership certification for entity or trust…
Design and operate back-office account opening pipelines from application intake through custodian submission and activation. Use when building account opening automation, reducing NIGO rejection rates from custodians or clearing firms, defining document…
Process and manage account transfers between and within financial institutions. Use when handling full or partial ACAT transfers between broker-dealers, troubleshooting ACAT rejection codes or FINRA Rule 11870 timelines, setting up non-ACAT transfers…
Process and manage corporate actions from announcement through settlement. Use when handling dividends, stock splits, reverse splits, mergers, or spin-offs, managing voluntary elections for tender offers, rights offerings, or exchange offers, calculating…
Design and operate reconciliation processes across portfolio management, custodian, and clearing systems. Use when building a daily position, cash, or transaction reconciliation process, investigating discrepancies between internal records and custodian…
Measure and raise straight-through processing (STP) rates in securities operations through zero-touch, exception-based processing. Use when measuring STP rates and analyzing manual touchpoints in an existing process, replacing review-all workflows with…
Design human-in-the-loop workflow orchestration for securities operations: task routing, approval chains, and SLA monitoring. Use when building multi-level approval chains with dollar thresholds and delegation of authority, enforcing four-eyes (maker-checker)…
Guide the design and maintenance of recordkeeping programs under SEC Rules 17a-3, 17a-4, and 204-2. Use when the user asks about document retention schedules, how long to keep trade records or customer complaints, WORM storage requirements, email or text…
Identify, disclose, and mitigate conflicts of interest in advisory and brokerage relationships under Reg BI and fiduciary duty. Use when the user asks about compensation-based conflicts, proprietary product incentives, revenue sharing disclosure, principal…
Prepare for and respond to SEC and FINRA regulatory examinations across the full exam lifecycle. Use when the user asks about exam notification letters, document request lists, deficiency letter responses, mock examination programs, annual compliance reviews…
Evaluate whether the substance of fee and cost disclosures is complete, accurate, and not misleading across advisory, brokerage, fund, and retirement plan contexts. Use when the user asks whether Form ADV Item 5 fee content is adequate, prospectus fee table…
Apply the investment adviser fiduciary duty (IA Act Section 206), ERISA fiduciary standards, the DOL fiduciary rule and PTE 2020-02, and state fiduciary rules. Use when the user asks whether a fiduciary standard applies, what the duty of care and duty of…
Ensure firms claiming GIPS compliance under the CFA Institute Global Investment Performance Standards satisfy requirements for composite construction, performance calculation, presentation, and verification. Use when the user asks about building composites,…
Guide customer onboarding identification, due diligence, and profile maintenance under FINRA Rule 2090, the CIP rules, and the FinCEN CDD Rule. Use when the user asks about onboarding identity verification, beneficial ownership collection for entity accounts,…
Design and operate privacy and data security programs for SEC-registered firms under Reg S-P, Reg S-ID, and SEC cybersecurity expectations. Use when the user asks about privacy notices, the Safeguards Rule, identity theft prevention programs, breach…
Guide regulatory filing mechanics and deadlines for investment advisers, broker-dealers, and large traders — which forms to file, where, and by when. Use when the user asks about Form PF filing thresholds, 13F institutional holdings reports, 13H large trader…
Identify and prevent sales practice violations under FINRA and SEC rules governing broker-dealer conduct. Use when the user asks about churning or excessive trading metrics, mutual fund breakpoint discounts, selling away or private securities transactions,…
Compute and compare investment return metrics including TWR, MWR (dollar-weighted IRR on portfolio cash flows), CAGR, and annualized returns. Use when the user asks about portfolio performance calculation, comparing manager returns, linking sub-period…
Calculate present value, future value, NPV, IRR for projects and loans, loan payments, and amortization schedules across all compounding conventions. Use when the user asks about discounting cash flows, valuing an annuity or perpetuity, comparing investments…
Design and operate data quality programs for financial data — validation rules, pricing validation, data lineage, exception management, profiling, and governance. Use when building validation rules for pricing or client data pipelines, detecting stale prices,…
Design and implement integration architectures connecting financial systems — APIs, FIX protocol, ISO 20022, event-driven patterns, batch feeds, idempotency, and resilience. Use when building custodian integration pipelines, implementing FIX connectivity for…
Design and manage market data infrastructure — real-time and delayed feeds, Level 1/2/3 depth, consolidated tape vs direct feeds, vendor selection, licensing, and distribution architecture. Use when choosing between real-time and delayed data, evaluating…
Design and manage reference data systems — security master, client master, account master, identifier mapping, pricing data sources, golden source designation, and governance. Use when building or evaluating a security master database, mapping identifiers…
Guide counterparty credit risk measurement and management for OTC and securities trading, organized around three workflows: assessing a new counterparty, responding to a credit-deterioration event, and executing a default close-out. Use when measuring current…
Guide the design and management of trading venue connectivity and market data infrastructure. Owns the FIX session layer (logon, heartbeats, sequence number gaps, resend and gap recovery, disconnects). Use when building or troubleshooting FIX sessions for…
Guide margin lending, margin requirements, and margin call operations for brokerage and advisory accounts. Use when calculating Reg T initial margin or buying power, determining maintenance margin or house requirements, evaluating portfolio margin eligibility…
Guide identification, measurement, and management of operational risk in trading and brokerage operations. Use when designing trade error detection and correction procedures, investigating trade breaks and reconciliation failures, classifying loss events…
Guide the design and implementation of order lifecycle management in trading systems. Owns FIX application-layer message flows (NewOrderSingle, ExecutionReport, cancel/replace) and order state. Use when building an order state machine for an OMS or EMS,…
Guide post-trade compliance monitoring and trade surveillance system design. Use when building alert logic to detect churning, front-running, cherry-picking, layering, spoofing, wash trading, or marking the close, implementing post-trade best execution…
Guide the design and implementation of automated pre-trade compliance systems that validate orders before execution. Use when building a compliance rule engine for an RIA or broker-dealer, configuring hard blocks and soft blocks, maintaining restricted and…
Guide the understanding and management of trade settlement and clearing processes. Use when designing settlement workflows for T+1 compliance, understanding DTC/NSCC/FICC clearing infrastructure, analyzing continuous net settlement (CNS) netting obligations,…
Guide the design, evaluation, and monitoring of trade execution quality and best execution practices. Use when assessing best execution obligations under FINRA Rule 5310 or RIA fiduciary duty, designing smart order routing across exchanges and dark pools,…
Determine how much capital to allocate to individual positions within a portfolio. Use when the user asks about position sizing, the Kelly criterion, fractional Kelly, risk budgeting, or conviction weighting. Also trigger when users mention 'how much to put…
Analyze commodity markets including futures curve dynamics, roll yield, and supply/demand fundamentals. Use when the user asks about commodity investing, commodity ETFs, contango, backwardation, roll yield, commodity indices (GSCI, BCOM), or commodities as an…
Analyze currency markets, exchange rate mechanics, and FX risk management for international portfolios. Use when the user asks about exchange rates, FX hedging, interest rate parity, carry trades, forward premiums, cross rates, or currency overlay programs.…
Analyze digital assets including cryptocurrency fundamentals, blockchain mechanics, DeFi protocols, and on-chain metrics. Use when the user asks about crypto investing, Bitcoin, Ethereum, staking yields, DeFi lending, impermanent loss, or on-chain valuation…
Recognize and mitigate cognitive biases that impair financial decisions, and coach clients toward values-driven financial lives. Use when the user asks about behavioral finance, money psychology, loss aversion, overconfidence, herd behavior, or emotional…
Analyze corporate bonds and credit instruments including investment grade and high yield debt. Use when the user asks about corporate bonds, credit spreads (OAS, Z-spread, G-spread), credit ratings, default probabilities, callable bonds, or private credit.…
Analyze municipal bonds including tax-equivalent yield calculations, GO vs revenue bond evaluation, and muni credit analysis. Use when the user asks about municipal bonds, tax-exempt income, tax-equivalent yield, AMT bonds, callable bonds, yield-to-worst on…