What is the Account Maintenance skill for?

It provides standardized patterns and guidance for managing client account changes, such as address updates, beneficiary designations, and legal re-titling in brokerage and advisory environments.

Can it handle complex estate and divorce events?

Yes, the skill includes specialized logic for death notifications, estate account setup, QDRO processing for retirement accounts, and power of attorney situations.

How does it manage operational risk?

It helps identify red flags in maintenance requests and provides strategies for propagating data updates across multiple systems to ensure consistency and prevent privacy breaches.

Does this skill help with regulatory compliance?

Yes, it incorporates best practices aligned with FINRA and SEC requirements, including identity verification, senior investor protection, and dual notification protocols.

Is this skill useful for automated platforms?

Absolutely. It is designed to help engineers and operations teams build efficient, compliant workflows for periodic account reviews and data quality management.

Account Maintenance Operations

Name: Account Maintenance Operations
Author: JoelLewis

byJoelLewis

•

Productivity & Workflow

Manages complex account lifecycle tasks for financial services including contact updates, beneficiary designations, and legal re-titling.

This skill guides users through the intricate processes of account maintenance within brokerage and advisory firms, ensuring compliance with regulatory requirements like FINRA and SEC mandates. It provides expert patterns for handling address changes, beneficiary updates during life events, account re-registrations (such as moving to a trust), and managing legal restrictions or holds. By incorporating operational risk assessments and standardized workflows, it helps financial professionals maintain data quality and security throughout the entire client relationship while minimizing manual errors in high-stakes administrative tasks.

Key Features

01Application of regulatory holds including legal, compliance, and Reg T freezes

02Identity verification and address change protocols with fraud detection

03Legal account re-titling workflows for trusts and entity restructuring

0418 GitHub stars

05Comprehensive beneficiary management for primary and contingent designations

06Lifecycle event processing for marriage, divorce, death, and incapacity

Use Cases

01Coordinating the transition of individual accounts into legal trust entities with required documentation

02Processing secure client contact updates while monitoring for financial exploitation red flags

03Managing complex beneficiary changes and per stirpes designations following major life events

What are Skills?·How to Install

Install with 🐟 Skill.Fish

npx skillfish add joellewis/finance_skills account-maintenance

For use in Claude.ai and ChatGPT

Download Skill