Does it cover entity accounts?

Yes, it includes specific guidance for collecting beneficial ownership certifications for legal entities and trusts.

How does this skill help with CIP/KYC?

It provides patterns for integrating database and documentary identity verification directly into onboarding workflows to ensure PATRIOT Act compliance.

How is OFAC screening handled?

It defines logic for real-time screening against SDN and SSI lists, including manual review workflows for potential matches and false positives.

Can it assist with SEC or FINRA examinations?

Yes, it helps prepare account opening procedures and documentation to meet regulatory expectations and remediate existing audit deficiencies.

What are the recordkeeping benefits?

The skill guides the creation of automated logs for screening results and verification outcomes to satisfy 5-year regulatory retention requirements.

Account Opening Compliance

Name: Account Opening Compliance
Author: JoelLewis

byJoelLewis

•

Seguridad y Pruebas

Integrates regulatory compliance controls and identity verification protocols into financial account opening workflows.

This skill provides specialized guidance for embedding essential compliance checkpoints—such as CIP/KYC verification, OFAC sanctions screening, and beneficial ownership certification—directly into the account onboarding process. It helps financial institutions automate risk-based approval tiers, document suitability requirements, and establish robust CDD risk ratings, ensuring all procedures align with SEC and FINRA expectations while facilitating a seamless transition from account opening to ongoing surveillance.

Características Principales

0118 GitHub stars

02Real-time OFAC and sanctions screening workflows

03SEC and FINRA examination readiness assessment

04Automated CIP/KYC identity verification integration

05Risk-based application routing and approval tiers

06Legal entity beneficial ownership certification procedures

Casos de Uso

01Implementing senior investor protection protocols and trusted contact procedures.

02Designing a digital onboarding flow with integrated identity verification gates.

03Remediating audit deficiencies in existing account opening compliance processes.

What are Skills?·How to Install

Install with 🐟 Skill.Fish

npx skillfish add joellewis/finance_skills account-opening-compliance

For use in Claude.ai and ChatGPT

Download Skill