finance_skills

In the author's own words, from each skill's SKILL.md — showing the first 30 of 91 files.

• advisor-dashboards

  Design, build, and optimize dashboards for RIA practice management with AUM tracking, revenue analytics, and KPI frameworks. Use when the user asks about tracking firm-level metrics, monitoring advisor productivity, measuring organic growth rate, analyzing client retention and attrition, building executive or branch manager views, setting up exception alerts for NIGO and operational items, benchm…

  plugins/advisory-practice/skills/advisor-dashboards/SKILL.md on GitHub (opens in a new tab)

• client-onboarding

  Design and implement end-to-end client onboarding workflows from prospect intake through funded account, covering KYC verification, document collection, e-signature, and custodian submission. Use when the user asks about building a digital onboarding flow, integrating identity verification or CIP checks, reducing NIGO rejection rates, opening complex account types like trusts or entities, connect…

  plugins/advisory-practice/skills/client-onboarding/SKILL.md on GitHub (opens in a new tab)

• client-reporting-delivery

  Design, generate, and deliver client performance reports across all channels, covering quarterly reports, tax reporting, portal integration, and compliance review. Use when the user asks about building or redesigning report templates, choosing what to include in quarterly or annual client reports, transitioning from print to digital delivery, integrating a client portal, presenting net-of-fee per…

  plugins/advisory-practice/skills/client-reporting-delivery/SKILL.md on GitHub (opens in a new tab)

• client-review-prep

  Prepare advisors for client review meetings by assembling context packages, performance summaries, drift analysis, talking points, and meeting agendas. Use when the user asks about preparing for a client review, building a pre-meeting checklist, generating talking points for an upcoming meeting, identifying allocation drift before a review, automating review prep workflows, or assembling a meetin…

  plugins/advisory-practice/skills/client-review-prep/SKILL.md on GitHub (opens in a new tab)

• crm-client-lifecycle

  Design and optimize CRM systems and client lifecycle workflows for advisory firms, covering segmentation, household management, service tiers, and retention analytics. Use when the user asks about client segmentation models, building household structures, defining service tier SLAs, scheduling reviews, tracking lifecycle stages from prospect through estate, identifying at-risk clients, analyzing…

  plugins/advisory-practice/skills/crm-client-lifecycle/SKILL.md on GitHub (opens in a new tab)

• fee-billing

  Build and manage advisory fee billing operations from fee schedule design through calculation, collection, revenue recognition, and compliance disclosure. Use when the user asks about tiered or breakpoint fee schedules, billing cycle configuration, AUM valuation for billing, direct-debit vs invoice collection, GAAP revenue recognition for fees, ADV Part 2A or Reg BI fee disclosure, diagnosing bil…

  plugins/advisory-practice/skills/fee-billing/SKILL.md on GitHub (opens in a new tab)

• financial-planning-integration

  Integrate financial planning engines with the advisor technology stack — data flows between planning tools, CRM, PMS, custodians, and aggregation platforms; capital market assumption (CMA) governance and synchronization; plan-to-IPS-to-model linkage; and governed tax reference parameters in planning tools. Use when the user asks about connecting eMoney, MoneyGuidePro, or RightCapital to CRM or po…

  plugins/advisory-practice/skills/financial-planning-integration/SKILL.md on GitHub (opens in a new tab)

• financial-planning-workflow

  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 withdrawal sequencing, Social Security claiming strategy, education and estate goals, scenario modeling, and prioritized recommendations. Use when the user asks about building a financial plan, structurin…

  plugins/advisory-practice/skills/financial-planning-workflow/SKILL.md on GitHub (opens in a new tab)

• next-best-action

  Design and implement next-best-action engines that surface proactive, prioritized recommendations to advisors based on portfolio, life, market, and compliance events. Use when the user asks about building event-driven advisor alerts, designing trigger logic for portfolio drift or large cash movements, prioritizing competing actions across a book of business, routing NBA recommendations to the rig…

  plugins/advisory-practice/skills/next-best-action/SKILL.md on GitHub (opens in a new tab)

• order-management-advisor

  Manage the advisor trade lifecycle from order entry through settlement, covering block trading, allocation, pre-trade compliance, custodian routing, and error correction. Use when the user asks about designing an OMS for an RIA, executing model portfolio changes across many accounts, structuring block trades with fair allocation, configuring pre-trade compliance rules or restricted lists, routing…

  plugins/advisory-practice/skills/order-management-advisor/SKILL.md on GitHub (opens in a new tab)

• portfolio-management-systems

  Select, configure, and operate portfolio management systems for advisory firms, covering model portfolios, UMA/sleeve management, drift monitoring, rebalancing, and custodian data feeds. Use when the user asks about choosing a PMS platform, building or distributing model portfolios, implementing UMA or sleeve-based management, setting drift monitoring thresholds, aggregating held-away assets, rec…

  plugins/advisory-practice/skills/portfolio-management-systems/SKILL.md on GitHub (opens in a new tab)

• proposal-generation

  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 portfolios, building fee illustrations with tiered costs, producing Monte Carlo or scenario projections, analyzing a prospect's current por…

  plugins/advisory-practice/skills/proposal-generation/SKILL.md on GitHub (opens in a new tab)

• account-maintenance

  Process account maintenance requests across the account lifecycle. Use when changing a client address or contact info with identity verification, updating beneficiary designations after marriage, divorce, birth, or death, re-registering or re-titling an account to a trust or new entity, selecting tax lot methods or fixing cost basis records, applying legal or compliance holds or Reg T freezes, se…

  plugins/client-operations/skills/account-maintenance/SKILL.md on GitHub (opens in a new tab)

• account-opening-compliance

  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 accounts, building risk-based approval tiers that route applications by risk level, defining compliance screening requirements and exception…

  plugins/client-operations/skills/account-opening-compliance/SKILL.md on GitHub (opens in a new tab)

• account-opening-workflow

  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 requirements for trusts, entities, IRAs, or estate accounts, setting up multi-custodian account opening across Schwab, Fidelity, or Pershing, tr…

  plugins/client-operations/skills/account-opening-workflow/SKILL.md on GitHub (opens in a new tab)

• account-transfers

  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 (Fund/SERV, DTC free delivery, physical certificates), processing internal journal entries, handling retirement rollovers or Roth conversions with p…

  plugins/client-operations/skills/account-transfers/SKILL.md on GitHub (opens in a new tab)

• corporate-actions

  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 record date and ex-date entitlements under T+1 settlement, collecting and submitting elections to DTC or custodians, handling fractional shares…

  plugins/client-operations/skills/corporate-actions/SKILL.md on GitHub (opens in a new tab)

• reconciliation

  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 records, diagnosing recurring break patterns from corporate actions or pricing differences, setting tolerance thresholds for position, cash, or m…

  plugins/client-operations/skills/reconciliation/SKILL.md on GitHub (opens in a new tab)

• stp-automation

  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 exception-based processing, evaluating RPA vs API-based vs hybrid automation for legacy systems, building exception queuing, categorization, and a…

  plugins/client-operations/skills/stp-automation/SKILL.md on GitHub (opens in a new tab)

• workflow-automation

  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) controls, defining escalation rules for aging work items approaching SLA breach, designing human-in-the-loop gates, selecting a workflow en…

  plugins/client-operations/skills/workflow-automation/SKILL.md on GitHub (opens in a new tab)

• advertising-compliance

  Ensure investment advertising and marketing materials comply with SEC Marketing Rule and FINRA Rule 2210. Use when the user asks about performance advertising, showing backtested or hypothetical returns, net vs gross performance presentation, client testimonials or endorsements in marketing, social media posts by advisers or reps, third-party ratings in pitchbooks, or advertising recordkeeping. A…

  plugins/compliance/skills/advertising-compliance/SKILL.md on GitHub (opens in a new tab)

• advice-standards

  Determine when a product, platform, or communication crosses the regulatory line from education into investment advice requiring investment adviser registration. Use when the user asks about the definition of investment advice under Advisers Act Section 202(a)(11), whether a fintech feature or AI chatbot constitutes advice, the publisher's exclusion for newsletters or model portfolios, the broker…

  plugins/compliance/skills/advice-standards/SKILL.md on GitHub (opens in a new tab)

• anti-money-laundering

  Guide BSA/AML compliance program design, ongoing transaction monitoring, and FinCEN reporting for broker-dealers, banks, and investment advisers. Use when the user asks about suspicious activity reports, currency transaction reports, OFAC screening, structuring detection, ongoing risk-rating reviews and escalation, or FinCEN requirements. Also trigger when users mention 'large cash deposit', 'san…

  plugins/compliance/skills/anti-money-laundering/SKILL.md on GitHub (opens in a new tab)

• books-and-records

  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 message archiving, social media capture, BYOD compliance policies, or electronic storage audit trails. Also trigger when users mention 'we got a…

  plugins/compliance/skills/books-and-records/SKILL.md on GitHub (opens in a new tab)

• client-disclosures

  Guide which client disclosure documents must exist, what each must contain, and when and how they must be delivered to clients of investment advisers and broker-dealers. Use when the user asks about Form ADV Part 2A or 2B content, Form CRS content and delivery, prospectus delivery obligations, privacy notice delivery, trade confirmation timing, account statement distribution, electronic vs paper…

  plugins/compliance/skills/client-disclosures/SKILL.md on GitHub (opens in a new tab)

• conflicts-of-interest

  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 trading consent, soft dollar arrangements, pay-to-play restrictions, gifts and entertainment limits, personal trading policies, or code of eth…

  plugins/compliance/skills/conflicts-of-interest/SKILL.md on GitHub (opens in a new tab)

• examination-readiness

  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 under Rule 206(4)-7, or SEC/FINRA examination priorities. Also trigger when users mention 'we just got an exam letter', 'preparing for our f…

  plugins/compliance/skills/examination-readiness/SKILL.md on GitHub (opens in a new tab)

• fee-disclosure

  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 format, Reg BI cost disclosure content, 12b-1 fee transparency, revenue sharing arrangements, wrap fee program cost-effectiveness, or ERISA 4…

  plugins/compliance/skills/fee-disclosure/SKILL.md on GitHub (opens in a new tab)

• fiduciary-standards

  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 loyalty require of an adviser, ERISA Section 404 prudent expert obligations, PTE 2020-02 rollover exemption conditions, DOL fiduciary rulemaking…

  plugins/compliance/skills/fiduciary-standards/SKILL.md on GitHub (opens in a new tab)

• gips-compliance

  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, time-weighted return calculation under GIPS, GIPS Reports and pooled fund reports, error correction policies, wrap fee or SMA program perform…

  plugins/compliance/skills/gips-compliance/SKILL.md on GitHub (opens in a new tab)

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