Joellewis publishes agent skills for securities and wealth management operations, covering approval chains and escalation workflows, pre-trade compliance rule engines, and data quality programs for pricing and client data. Their skills also address investment performance measurement, including TWR, MWR and CAGR calculations, along with portfolio management systems, model portfolio rebalancing, and financial planning workflows. The collection stands out for its focus on the control and governance layer of advisory operations, from four-eyes controls to restricted lists, alongside the analytical tools that feed them.
Finance Skills
91 skills · 222 stars · MIT
Account Maintenance Process account maintenance requests across the account lifecycle.
Account Opening Compliance Embed compliance controls into account opening and verify regulatory readiness.
Account Opening Workflow Design and operate back-office account opening pipelines from application intake through custodia…
Account Transfers Process and manage account transfers between and within financial institutions.
Advertising Compliance Ensure investment advertising and marketing materials comply with SEC Marketing Rule and FINRA Ru…
Advice Standards Determine when a product, platform, or communication crosses the regulatory line from education i…
Advisor Dashboards Design, build, and optimize dashboards for RIA practice management with AUM tracking, revenue ana…
Alternatives Analyze alternative investments including hedge funds, private equity, and venture capital.
Anti Money Laundering Guide BSA/AML compliance program design, ongoing transaction monitoring, and FinCEN reporting for…
Asset Allocation Determine how to distribute capital across asset classes using strategic and tactical allocation…
Bet Sizing Determine how much capital to allocate to individual positions within a portfolio.
Books And Records Guide the design and maintenance of recordkeeping programs under SEC Rules 17a-3, 17a-4, and 204-2.
Client Disclosures Guide which client disclosure documents must exist, what each must contain, and when and how they…
Client Onboarding Design and implement end-to-end client onboarding workflows from prospect intake through funded a…
Client Reporting Delivery Design, generate, and deliver client performance reports across all channels, covering quarterly…
Client Review Prep Prepare advisors for client review meetings by assembling context packages, performance summaries…
Commodities Analyze commodity markets including futures curve dynamics, roll yield, and supply/demand fundame…
Conflicts Of Interest Identify, disclose, and mitigate conflicts of interest in advisory and brokerage relationships un…
Corporate Actions Process and manage corporate actions from announcement through settlement.
Counterparty Risk Guide counterparty credit risk measurement and management for OTC and securities trading, organiz…
Crm Client Lifecycle Design and optimize CRM systems and client lifecycle workflows for advisory firms, covering segme…
Currencies And Fx Analyze currency markets, exchange rate mechanics, and FX risk management for international portf…
Data Quality Design and operate data quality programs for financial data — validation rules, pricing validatio…
Debt Management Provide frameworks for managing and paying off personal debt effectively.
Design approval chains and escalation workflows for securities operations Build human-in-the-loop approvals, four-eyes controls, and SLA escalations with audit trails.
Digital Assets Analyze digital assets including cryptocurrency fundamentals, blockchain mechanics, DeFi protocol…
Diversification Build diversified portfolios using correlation analysis, efficient frontier construction, and fac…
Emergency Fund Size and structure an emergency fund based on individual circumstances, income stability, and exp…
Equities Analyze equity securities, factor models, and equity portfolio construction.
Equity Compensation Guides equity compensation planning for wealth management clients: RSU vesting and the supplement…
Estate Gifting Estate and gifting architecture for wealth management: the unified estate/gift/GST framework, lif…
Examination Readiness Prepare for and respond to SEC and FINRA regulatory examinations across the full exam lifecycle.
Exchange Connectivity Guide the design and management of trading venue connectivity and market data infrastructure.
Factor Investing Apply factor models to portfolio construction and fund evaluation, from CAPM through the Fama-Fre…
Fee Billing Build and manage advisory fee billing operations from fee schedule design through calculation, co…
Fee Disclosure Evaluate whether the substance of fee and cost disclosures is complete, accurate, and not mislead…
Fiduciary Standards Apply the investment adviser fiduciary duty (IA Act Section 206), ERISA fiduciary standards, the…
Finance Psychology Recognize and mitigate cognitive biases that impair financial decisions, and coach clients toward…
Financial Planning Integration Integrate financial planning engines with the advisor technology stack — data flows between plann…
Financial Planning Workflow Orchestrate the advisor workflow for assembling and delivering a comprehensive financial plan — d…
Financial Statements Analyze financial statements for investment decisions: derive EBITDA and free cash flow (FCFF/FCF…
Fixed Income Corporate Analyze corporate bonds and credit instruments including investment grade and high yield debt.
Fixed Income Municipal Analyze municipal bonds including tax-equivalent yield calculations, GO vs revenue bond evaluatio…
Fixed Income Sovereign Analyze US Treasury securities and interest rate risk: bond pricing, yield curve construction, du…
Fixed Income Structured Analyze structured fixed income products including mortgage-backed securities, asset-backed secur…
Forward Risk Estimate potential future losses using VaR, Expected Shortfall, Monte Carlo simulation, and stres…
Fund Vehicles Compare and select investment vehicles including mutual funds, ETFs, index funds, and separately…
Gips Compliance Ensure firms claiming GIPS compliance under the CFA Institute Global Investment Performance Stand…