JoelLewis
@JoelLewis
Public Skills
investment-suitability
by JoelLewis
"Investment suitability obligations: FINRA Rules 2111/2090, reasonable-basis/customer-specific/quantitative suitability, product-specific concerns, household considerations."
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."
account-maintenance
by JoelLewis
"Account maintenance operations: address changes, beneficiary updates, re-registration, cost basis management, account restrictions, standing instructions, and lifecycle changes."
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."
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."
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."
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."
examination-readiness
by JoelLewis
"SEC and FINRA examination process: exam types, document production, deficiency findings, mock exam frameworks, examination priorities, remediation strategies."
margin-operations
by JoelLewis
"Margin operations: Reg T initial margin, maintenance margin, portfolio margin, margin call procedures, liquidation waterfall, SBLOC, and margin risk management."
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."
client-disclosures
by JoelLewis
"Client disclosure documents: Form ADV, Form CRS, prospectus delivery, Reg S-P privacy, trade confirmations, account statements, delivery timing."
anti-money-laundering
by JoelLewis
"BSA/AML compliance: CTRs, SARs, OFAC screening, structuring detection, FinCEN requirements, red flags for money laundering."
reference-data
by JoelLewis
"Financial reference data: security master, client master, account master, identifiers (CUSIP, ISIN, SEDOL, FIGI), pricing, and reference data governance."
reg-bi
by JoelLewis
"SEC Regulation Best Interest (Reg BI): disclosure, care, conflict of interest, and compliance obligations for broker-dealer recommendations."
exchange-connectivity
by JoelLewis
"Exchange and venue connectivity: market data feeds, FIX sessions, trading venue integration, market halts, circuit breakers, symbology, and connectivity architecture."
advertising-compliance
by JoelLewis
"Investment advertising and marketing compliance: SEC Marketing Rule, FINRA 2210, performance advertising, testimonials, social media, and recordkeeping."
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."
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."
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."
counterparty-risk
by JoelLewis
"Counterparty risk management: counterparty exposure measurement, credit risk monitoring, netting agreements, collateral management, ISDA documentation, and central clearing."
account-transfers
by JoelLewis
"Account transfers: ACAT transfers, non-ACAT transfers, partial transfers, journal entries, rollovers, estate transfers, and transfer tracking for brokerage operations."
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)."
know-your-customer
by JoelLewis
"KYC requirements: CIP, CDD, beneficial ownership, essential facts, customer profiling, ongoing monitoring, enhanced due diligence."