Business, Finance & HR · 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

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

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

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

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

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

JoelLewis/finance_skills

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

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

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

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