Account Opening Compliance
JoelLewis/finance_skills/plugins/client-operations/skills/account-opening-complianceby JoelLewis5c498eacf7057e31238c4c5a8012a1afe9ec7c8aNo licenseListed Oct 9, 2026Updated Oct 9, 2026
Embed compliance controls into account opening and verify regulatory readiness. Use when designing CIP/KYC identity verification gates, implementing OFAC and sanctions screening at onboarding, collecting beneficial ownership certification for entity or trust accounts, building risk-based approval tiers that route applications by risk level, defining compliance screening requirements and exception tracking, adding senior investor protections (FINRA Rules 2165/4512) or trusted contact procedures, establishing CDD risk ratings and ongoing monitoring triggers, or preparing account opening procedures for SEC or FINRA examination. For the operational pipeline these controls plug into, see account-opening-workflow.
Only the file list is public. File contents are available once the skill is installed in a workspace.
| Path | Size | Type |
|---|---|---|
| references/examples.md | 18.8 KB | text/markdown |
| SKILL.md | 46.2 KB | text/markdown |
Source and attribution
Source:JoelLewis/finance_skillsinplugins/client-operations/skills/account-opening-complianceat commit5c498ea
License: No license
Content belongs to its original authors. SourceWeft indexes it from a public repository.
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