If you're building or fixing account opening workflows at a brokerage or RIA, this walks you through embedding CIP/KYC verification, OFAC screening, beneficial ownership collection for entities, and risk-based approval routing directly into the onboarding flow. It covers the operational mechanics like handling inconclusive identity verification results, choosing between real-time database checks versus restricted accounts pending verification, and documenting everything for SEC or FINRA exams. Most useful when you're designing compliance gates for digital onboarding, remediating audit findings, or figuring out how account opening hands off to ongoing surveillance. The perspective is compliance operations, not legal theory.
npx skills add https://github.com/joellewis/finance_skills --skill account-opening-compliance