Loading...
Loading...
Found 3 Skills
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, connecting to custodian APIs, designing suitability questionnaires, or comparing advisor-assisted vs self-service models. Also trigger when users mention 'new account opening', 'onboarding bottleneck', 'KYC integration', 'beneficial ownership', 'OFAC screening', 'account funding', or 'onboarding automation'.
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 meeting package with exhibits. Also trigger when users mention 'client meeting prep', 'review preparation', 'what should I discuss with my client', 'proactive recommendations', 'life event triggered review', 'meeting agenda', or 'compliance pre-check before review'.
Assess investment suitability obligations under FINRA Rules 2111 and 2090 across all three suitability prongs. Use when the user asks about reasonable-basis, customer-specific, or quantitative suitability, product-specific concerns for complex products, leveraged ETFs, variable annuities, or alternatives, household-level suitability, hold recommendations, or the institutional suitability exemption. Also trigger when users mention 'is this investment suitable', 'turnover ratio is too high', 'cost-to-equity ratio', 'churning metrics', 'suitability questionnaire design', 'complex product due diligence', 'customer refused to provide their risk tolerance', or ask whether a recommendation fits a customer's profile.