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joellewis avatar

Account Opening Compliance

joellewis/finance_skills
428 installs164 stars
Summary

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.

Install to Claude Code

npx -y skills add joellewis/finance_skills --skill account-opening-compliance --agent claude-code

Installs into .claude/skills of the current project.

CodeRabbit
CodeRabbit
AI writes the code. CodeRabbit catches the slop.
Try For Free →
inference shell
inference shell
create and run specialised agents in minutes
build now →
MCP-ready Email SendingMCP-ready Email Sending
MCP-ready Email Sending
Plug Mailtrap into your AI workflow and let it handle the email.
Connect Mailtrap MCP →
Make your agent a DeFi expert
Make your agent a DeFi expert
Agent, run crypto. Access onchain data & trade routes via 1inch.
Install now →
Capacitor - Shared memory for your team’s coding agents.
Capacitor - Shared memory for your team’s coding agents.
Make coding agent sessions - Searchable, Shareable, Vendor-neutral & Scored.
Try For Free →
CodeScene MCP ServerCodeScene MCP Server
CodeScene MCP Server
Your agent targets a perfect 10 Code Health score. Deterministic. Every commit.
Try For Free →
Give your AI the whole web as clean markdownGive your AI the whole web as clean markdown
Give your AI the whole web as clean markdown
Integrate web data into your AI product. One API to scrape website & brand data.
Get API Key Now →
belt - the only tool your agent needs
belt - the only tool your agent needs
belt cli automatically finds the best tools and skills for your agent. image, video, music, tts...
one prompt install →
CodeRabbit
CodeRabbit
AI writes the code. CodeRabbit catches the slop.
Try For Free →
inference shell
inference shell
create and run specialised agents in minutes
build now →
MCP-ready Email SendingMCP-ready Email Sending
MCP-ready Email Sending
Plug Mailtrap into your AI workflow and let it handle the email.
Connect Mailtrap MCP →
Make your agent a DeFi expert
Make your agent a DeFi expert
Agent, run crypto. Access onchain data & trade routes via 1inch.
Install now →
Capacitor - Shared memory for your team’s coding agents.
Capacitor - Shared memory for your team’s coding agents.
Make coding agent sessions - Searchable, Shareable, Vendor-neutral & Scored.
Try For Free →
CodeScene MCP ServerCodeScene MCP Server
CodeScene MCP Server
Your agent targets a perfect 10 Code Health score. Deterministic. Every commit.
Try For Free →
Give your AI the whole web as clean markdownGive your AI the whole web as clean markdown
Give your AI the whole web as clean markdown
Integrate web data into your AI product. One API to scrape website & brand data.
Get API Key Now →
belt - the only tool your agent needs
belt - the only tool your agent needs
belt cli automatically finds the best tools and skills for your agent. image, video, music, tts...
one prompt install →
Files
SKILL.md

Select a file.

Featured
CodeRabbit
CodeRabbit
AI writes the code. CodeRabbit catches the slop.
Try For Free →
inference shell
inference shell
create and run specialised agents in minutes
build now →
MCP-ready Email SendingMCP-ready Email Sending
MCP-ready Email Sending
Plug Mailtrap into your AI workflow and let it handle the email.
Connect Mailtrap MCP →
Make your agent a DeFi expert
Make your agent a DeFi expert
Agent, run crypto. Access onchain data & trade routes via 1inch.
Install now →
Capacitor - Shared memory for your team’s coding agents.
Capacitor - Shared memory for your team’s coding agents.
Make coding agent sessions - Searchable, Shareable, Vendor-neutral & Scored.
Try For Free →
CodeScene MCP ServerCodeScene MCP Server
CodeScene MCP Server
Your agent targets a perfect 10 Code Health score. Deterministic. Every commit.
Try For Free →
Give your AI the whole web as clean markdownGive your AI the whole web as clean markdown
Give your AI the whole web as clean markdown
Integrate web data into your AI product. One API to scrape website & brand data.
Get API Key Now →
belt - the only tool your agent needs
belt - the only tool your agent needs
belt cli automatically finds the best tools and skills for your agent. image, video, music, tts...
one prompt install →
Categories
DevOps & CI/CDDebuggingAutomation & WorkflowsRustSales & MarketingFinance & Trading
First SeenJun 3, 2026
View on GitHub

More from joellewis/finance_skills

All 84 skills →
  • Gips Compliance428
  • Post Trade Compliance428
  • Reference Data427
  • Stp Automation427
  • Advisor Dashboards426
  • Fixed Income Municipal425
  • Client Reporting Delivery424
  • Client Disclosures422
  • Crm Client Lifecycle422
  • Integration Patterns422
  • Conflicts Of Interest421
  • Proposal Generation421
  • Fee Disclosure420
  • Sales Practices420
  • Workflow Automation420
  • Reg Bi418
  • Examination Readiness416
  • Fiduciary Standards416
  • Client Review Prep413
  • Fee Billing410
  • Account Opening Workflow409
  • Statistics Fundamentals535
  • Asset Allocation534
  • Commodities513

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