Agent skills by JoelLewis, page 2

Estate and gifting architecture for wealth management: the unified estate/gift/GST framework, lifetime exemption vs annual exclusion, basis step-up vs carryover, trust taxonomy, and beneficiary…

JoelLewis/finance_skills

Prepare for and respond to SEC and FINRA regulatory examinations across the full exam lifecycle.

JoelLewis/finance_skills

Guide the design and management of trading venue connectivity and market data infrastructure.

JoelLewis/finance_skills

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

JoelLewis/finance_skills

Evaluate whether the substance of fee and cost disclosures is complete, accurate, and not misleading across advisory, brokerage, fund, and retirement plan contexts.

JoelLewis/finance_skills

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.

JoelLewis/finance_skills

Recognize and mitigate cognitive biases that impair financial decisions, and coach clients toward values-driven financial lives.

JoelLewis/finance_skills

Ensure firms claiming GIPS compliance under the CFA Institute Global Investment Performance Standards satisfy requirements for composite construction, performance calculation, presentation, and…

JoelLewis/finance_skills

Integrate insurance into a financial plan: decide what risks to retain vs transfer, size life insurance with needs-based and human-life-value analysis, and evaluate disability, long-term care…

JoelLewis/finance_skills

Design and implement integration architectures connecting financial systems — APIs, FIX protocol, ISO 20022, event-driven patterns, batch feeds, idempotency, and resilience.

JoelLewis/finance_skills

Construct comprehensive Investment Policy Statements governing return objectives, risk tolerance, and portfolio constraints.

JoelLewis/finance_skills

Assess investment suitability obligations under FINRA Rules 2111 and 2090 across all three suitability prongs.

JoelLewis/finance_skills

Guide customer onboarding identification, due diligence, and profile maintenance under FINRA Rule 2090, the CIP rules, and the FinCEN CDD Rule.

JoelLewis/finance_skills

Guide margin lending, margin requirements, and margin call operations for brokerage and advisory accounts.

JoelLewis/finance_skills

Design and implement next-best-action engines that surface proactive, prioritized recommendations to advisors based on portfolio, life, market, and compliance events.

JoelLewis/finance_skills

Guide identification, measurement, and management of operational risk in trading and brokerage operations.

JoelLewis/finance_skills

Guide the design and implementation of order lifecycle management in trading systems.

JoelLewis/finance_skills

Manage the advisor trade lifecycle from order entry through settlement, covering block trading, allocation, pre-trade compliance, custodian routing, and error correction.

JoelLewis/finance_skills

Guide post-trade compliance monitoring and trade surveillance system design.

JoelLewis/finance_skills

Guide the design and implementation of automated pre-trade compliance systems that validate orders before execution.

JoelLewis/finance_skills

Generate end-to-end investment proposals covering risk profiling, model portfolio recommendation, fee illustration, projections, and compliance review.

JoelLewis/finance_skills

Assess business quality, competitive positioning, and sustainability of value creation beyond financial models.

JoelLewis/finance_skills

Design and operate reconciliation processes across portfolio management, custodian, and clearing systems.

JoelLewis/finance_skills

Guide regulatory filing mechanics and deadlines for investment advisers, broker-dealers, and large traders — which forms to file, where, and by when.

JoelLewis/finance_skills

Guide the understanding and management of trade settlement and clearing processes.

JoelLewis/finance_skills

Measure and raise straight-through processing (STP) rates in securities operations through zero-touch, exception-based processing.

JoelLewis/finance_skills

Execute a complete tax-loss harvesting workflow from candidate identification through post-harvest monitoring.

JoelLewis/finance_skills

Guide the design, evaluation, and monitoring of trade execution quality and best execution practices.

JoelLewis/finance_skills

Design human-in-the-loop workflow orchestration for securities operations: task routing, approval chains, and SLA monitoring.

JoelLewis/finance_skills

Ensure investment advertising and marketing materials comply with SEC Marketing Rule and FINRA Rule 2210.

JoelLewis/finance_skills

Determine when a product, platform, or communication crosses the regulatory line from education into investment advice requiring investment adviser registration.

JoelLewis/finance_skills

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

JoelLewis/finance_skills

Prepare advisors for client review meetings by assembling context packages, performance summaries, drift analysis, talking points, and meeting agendas.

JoelLewis/finance_skills

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

JoelLewis/finance_skills

Design and optimize CRM systems and client lifecycle workflows for advisory firms, covering segmentation, household management, service tiers, and retention analytics.

JoelLewis/finance_skills

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

JoelLewis/finance_skills

Integrate financial planning engines with the advisor technology stack — data flows between planning tools, CRM, PMS, custodians, and aggregation platforms; capital market assumption (CMA)…

JoelLewis/finance_skills

Orchestrate the advisor workflow for assembling and delivering a comprehensive financial plan — data gathering, cash flow analysis, retirement modeling, Monte Carlo analysis, Roth conversion and…

JoelLewis/finance_skills

Design and operate privacy and data security programs for SEC-registered firms under Reg S-P, Reg S-ID, and SEC cybersecurity expectations.

JoelLewis/finance_skills

Analyze private placement and exempt offering compliance under Regulation D, the Investment Company Act fund exclusions, and FINRA private placement rules.

JoelLewis/finance_skills

Design and manage reference data systems — security master, client master, account master, identifier mapping, pricing data sources, golden source designation, and governance.

JoelLewis/finance_skills

Analyze the broker-dealer standard of conduct under SEC Regulation Best Interest's four obligations: Disclosure, Care, Conflict of Interest, and Compliance.

JoelLewis/finance_skills

Identify and prevent sales practice violations under FINRA and SEC rules governing broker-dealer conduct.

JoelLewis/finance_skills