JoelLewis
@JoelLewis
Public Skills
advisor-dashboards
by JoelLewis
"Advisor dashboards for RIAs: practice analytics, AUM/revenue tracking, organic growth, effective fee rate, net flows, client flow analysis, referral tracking, retention rates, attrition analysis, competitive losses, exception alerts (NIGO, rebalancing drift, billing), benchmarking (Schwab, FA Insight), productivity metrics, prospecting conversion, CRM integration (Redtail, Salesforce), PMS integration (Orion, Tamarac), compliance metrics."
client-reporting-delivery
by JoelLewis
"Report generation, customization, delivery channels, frequency management, report templates, client portal integration, compliance review, and print vs digital delivery for advisory firms."
fee-billing
by JoelLewis
"Advisory fee billing: fee calculation (tiered, flat, breakpoint), billing cycles, AUM valuation, direct-debit/invoice collection, GAAP revenue recognition, ADV Part 2A/Reg BI/ERISA 408(b)(2) disclosure, billing exceptions, system migration, revenue forecasting, concentration analysis."
portfolio-management-systems
by JoelLewis
"Portfolio management systems (PMS) for RIAs: model portfolios, sleeve-based/UMA management, drift monitoring, rebalancing, held-away aggregation, portfolio accounting, TWR/MWR performance, billing, custodian feeds. Platforms: Orion, Black Diamond, Tamarac, Addepar, Advent/APX."
time-value-of-money
by JoelLewis
"Present value, future value, NPV, IRR, annuities, amortization schedules, and compounding conventions."
workflow-automation
by JoelLewis
"Workflow automation for securities operations: BPM concepts, task routing, approval chains, escalation rules, SLA monitoring, and process orchestration patterns."
return-calculations
by JoelLewis
"Compute and explain investment return metrics: TWR, MWR/IRR, CAGR, annualization, sub-period linking, arithmetic vs geometric vs log returns."
data-quality
by JoelLewis
"Financial data quality management: golden source architecture, data lineage, validation rules, exception management, profiling, monitoring, and governance frameworks."
statistics-fundamentals
by JoelLewis
"Statistical methods for financial data: distributions, covariance matrices, regression, bootstrapping, shrinkage estimators."
integration-patterns
by JoelLewis
"Financial systems integration: API design, FIX protocol, ISO 20022 messaging, event-driven architecture, batch processing, idempotency, and error handling patterns."
client-onboarding
by JoelLewis
"Digital onboarding flows: document collection, KYC integration, account opening forms, e-signature, custodian submission, advisor-assisted vs self-service, compliance checkpoints."
order-management-advisor
by JoelLewis
"Advisor order management: order entry, block trading, allocation, order types, pre-trade compliance, custodian routing, model-driven trading, error handling, and audit trail."
proposal-generation
by JoelLewis
"Investment proposal generation: risk profiling output, model portfolio recommendation, fee illustration, scenario projections, compliance review, and proposal delivery for advisory practices."
corporate-actions
by JoelLewis
"Corporate actions processing: mandatory and voluntary actions, dividends, stock splits, mergers and acquisitions, tender offers, record dates, and corporate action lifecycle management."
books-and-records
by JoelLewis
"Broker-dealer and investment adviser recordkeeping: SEC Rules 17a-3/17a-4, Rule 204-2, FINRA retention, WORM storage, electronic communications archiving, social media archiving."
fee-disclosure
by JoelLewis
"Fee disclosure requirements: ADV Part 2A, prospectus fee tables, Reg BI cost disclosure, 12b-1 fees, revenue sharing, wrap fees, ERISA 408(b)(2)."
fiduciary-standards
by JoelLewis
"Fiduciary duty: IA Act Section 206, SEC 2019 Interpretation, ERISA fiduciary rules, DOL guidance, state-level standards, CFA Institute standards."
sales-practices
by JoelLewis
"FINRA and SEC rules governing sales conduct: churning, breakpoint abuse, selling away, unauthorized trading, supervision, senior protections, VA and options suitability."
privacy-data-security
by JoelLewis
"Privacy and data security compliance: Reg S-P, Reg S-ID Red Flags Rule, SEC cybersecurity rules, state privacy laws, vendor management, incident response, data governance."
post-trade-compliance
by JoelLewis
"Post-trade compliance and surveillance: trade surveillance, pattern detection, best execution review, allocation fairness, exception-based monitoring, and regulatory reporting triggers."
gips-compliance
by JoelLewis
"GIPS compliance: composite construction, performance presentation, verification, error correction, pooled funds, wrap/SMA programs, and advertising guidelines under the CFA Institute Global Investment Performance Standards."
margin-operations
by JoelLewis
"Margin operations: Reg T initial margin, maintenance margin, portfolio margin, margin call procedures, liquidation waterfall, SBLOC, and margin risk management."
exchange-connectivity
by JoelLewis
"Exchange and venue connectivity: market data feeds, FIX sessions, trading venue integration, market halts, circuit breakers, symbology, and connectivity architecture."
order-lifecycle
by JoelLewis
"Order lifecycle management: order states, FIX protocol basics, order types, time-in-force, cancel/replace workflows, order validation, and state machine design for trading systems."
settlement-clearing
by JoelLewis
"Settlement and clearing: T+1 settlement cycle, DTC/NSCC clearing, fails management, corporate actions on settlement, DVP/RVP, continuous net settlement, and settlement risk."
reference-data
by JoelLewis
"Financial reference data: security master, client master, account master, identifiers (CUSIP, ISIN, SEDOL, FIGI), pricing, and reference data governance."
reconciliation
by JoelLewis
"Reconciliation operations: position/cash/transaction matching with tolerance thresholds, three-way reconciliation (PMS/custodian/clearing), break identification (timing, pricing, corporate action, stock split/merger/DRIP), tolerance rules, STP rates (95-99% position, 85-95% transaction), auto-resolution, cost basis and tax lot matching, accrued income reconciliation, multi-custodian data normalization (Schwab, Fidelity, Pershing), ex-date processing, custodian feed formats, reconciliation scheduling, regulatory compliance (SEC Rule 204-2, ERISA, SOC 1/SOC 2, books and records), 1099-B accuracy, reconciliation automation platforms (Arcesium, Duco, Advent Geneva)."
know-your-customer
by JoelLewis
"KYC requirements: CIP, CDD, beneficial ownership, essential facts, customer profiling, ongoing monitoring, enhanced due diligence."
counterparty-risk
by JoelLewis
"Counterparty risk management: counterparty exposure measurement, credit risk monitoring, netting agreements, collateral management, ISDA documentation, and central clearing."
operational-risk
by JoelLewis
"Operational risk management: trade breaks, settlement fails, error handling, loss event taxonomy, key risk indicators, incident management, and business continuity for trading operations."
crm-client-lifecycle
by JoelLewis
"Client lifecycle management for RIAs: segmentation models (AUM, revenue, behavioral, strategic importance), household management, multi-generational relationship tracking, service tier SLAs, quarterly/annual review scheduling, lifecycle tracking (prospect→onboarding→accumulation→distribution→estate), engagement analytics (NPS, contact frequency, retention risk scoring), at-risk identification, wallet share, held-away asset consolidation, referral attribution, FINRA Rule 4512 trusted contact, OFAC/enhanced due diligence, CRM platforms (Salesforce, Redtail, Wealthbox, Dynamics)."
financial-planning-integration
by JoelLewis
"Financial planning integration: goal-based plans, Monte Carlo probability-of-success, plan-to-IPS linkage, scenario analysis, tax-aware planning (QCD, tax-loss harvesting, withdrawal sequencing), Roth conversions, RMD management, SECURE 2.0 Act, Social Security optimization, IRMAA Medicare premiums, 529/donor-advised funds, risk capacity, longevity/sequence-of-returns risk, cash flow modeling by life phase, planning tools (eMoney, MoneyGuidePro, RightCapital), assumption synchronization."
account-opening-workflow
by JoelLewis
"Account opening workflows: account types (individual, joint JTWROS/TIC, trust, entity, IRA/SEP/SIMPLE/inherited, UTMA, estate), required forms (Form CIP, CRS, W-9, W-8BEN, beneficial ownership, trust/LLC docs, Form 5305), approval workflows with supervisory review, NIGO management, regulatory holds, PEP/enhanced due diligence screening, senior investor protections, KYC/CIP verification, straight-through processing (STP), multi-custodian operations (Schwab, Fidelity, Pershing), account numbering/titling/classification, ACAT coordination, 30-day compliance review, funding verification, billing system integration, FINRA Rule 4512."
next-best-action
by JoelLewis
"Next-best-action frameworks for advisor workflows: event-driven triggers, prioritization scoring, action queuing, advisor nudges, automated workflows, personalized recommendations."
account-maintenance
by JoelLewis
"Account maintenance operations: address changes, beneficiary updates, re-registration, cost basis management, account restrictions, standing instructions, and lifecycle changes."
account-opening-compliance
by JoelLewis
"Account opening compliance: CIP/KYC integration, suitability checks, OFAC screening, beneficial ownership, risk-based review, and compliance automation in account opening."
stp-automation
by JoelLewis
"Straight-through processing and automation: STP design, exception-based workflow, STP rate metrics, integration patterns, process automation, and operational efficiency for securities operations."
account-transfers
by JoelLewis
"Account transfers: ACAT transfers, non-ACAT transfers, partial transfers, journal entries, rollovers, estate transfers, and transfer tracking for brokerage operations."
advertising-compliance
by JoelLewis
"Investment advertising and marketing compliance: SEC Marketing Rule, FINRA 2210, performance advertising, testimonials, social media, and recordkeeping."
advice-standards
by JoelLewis
"Regulatory bright lines between investment education, recommendations, and investment advice under federal and state securities law"
anti-money-laundering
by JoelLewis
"BSA/AML compliance: CTRs, SARs, OFAC screening, structuring detection, FinCEN requirements, red flags for money laundering."
client-disclosures
by JoelLewis
"Client disclosure documents: Form ADV, Form CRS, prospectus delivery, Reg S-P privacy, trade confirmations, account statements, delivery timing."
conflicts-of-interest
by JoelLewis
"Identifying, disclosing, and mitigating conflicts of interest across the advisory and brokerage landscape."
examination-readiness
by JoelLewis
"SEC and FINRA examination process: exam types, document production, deficiency findings, mock exam frameworks, examination priorities, remediation strategies."
market-data
by JoelLewis
"Market data management: real-time vs delayed feeds, Level 1/2/3 data, data vendors, consolidated tape, market data licensing, distribution, and infrastructure."
trade-execution
by JoelLewis
"Trade execution and best execution: venue selection, smart order routing, execution algorithms, transaction cost analysis (TCA), market microstructure, and best execution obligations."
investment-suitability
by JoelLewis
"Investment suitability obligations: FINRA Rules 2111/2090, reasonable-basis/customer-specific/quantitative suitability, product-specific concerns, household considerations."
reg-bi
by JoelLewis
"SEC Regulation Best Interest (Reg BI): disclosure, care, conflict of interest, and compliance obligations for broker-dealer recommendations."
pre-trade-compliance
by JoelLewis
"Automated pre-trade compliance: rule engines, concentration limits, restricted lists, hard and soft blocks, regulatory limits, client-specific restrictions, and compliance rule configuration."
regulatory-reporting
by JoelLewis
"Regulatory filing obligations: Form PF, 13F/13H filings, Form ADV amendments, FOCUS reports, blue sheets, CAT reporting, SAR/CTR mechanics, FINRA reporting."