Finance Skills for Claude Code

A collection of Claude Code skill plugins for financial services. 91 skills across 7 domain plugins teach Claude investment management, regulatory compliance, advisory workflows, trading operations, and more — so it can assist with finance questions, build financial tools, and flag compliance concerns.

Built by Joel Lewis.

Contributions welcome! Found a way to improve a skill or have a new one to add? See CONTRIBUTING.md.

Disclaimer: These skills are provided as-is for educational and informational purposes only. The authors make no representations or warranties regarding the accuracy, completeness, or currentness of this content. Nothing in these skills constitutes financial, legal, tax, or investment advice. Users should independently verify any information before relying on it in a professional or personal context. See LICENSE for full terms.

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Plugins

core — Mathematical Foundations

Always installed. Provides the math that every other plugin builds on.

Skill	What Claude can do
return-calculations	Compute TWR, MWR/IRR, CAGR, sub-period linking, annualization
time-value-of-money	PV, FV, NPV, IRR, annuities, amortization schedules
statistics-fundamentals	Distributions, covariance matrices, regression, bootstrapping

Python reference scripts included for all three skills.

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wealth-management — Investment Knowledge

Investment knowledge for personal and institutional wealth management. Covers the full investment lifecycle from risk measurement through reporting.

Risk measurement: Historical volatility estimators, drawdown analysis, historical VaR, parametric VaR, Monte Carlo VaR, CVaR/Expected Shortfall, GARCH, implied volatility surfaces.

Asset classes: Equities (factors, index construction, earnings), fixed income (sovereign, municipal, corporate, structured), commodities, real assets, alternatives, fund vehicles, currencies and FX, digital assets.

Valuation: Quantitative models (DCF, DDM, comparables, residual income), qualitative assessment (moats, management quality, ESG), and financial-statement analysis (FCF/EBITDA derivation, ROIC, DuPont, earnings quality).

Portfolio construction: Diversification theory, mean-variance optimization, Black-Litterman, risk parity, Kelly criterion, position sizing, calendar- and threshold-based rebalancing, factor investing (Fama-French regressions, smart-beta evaluation).

Policy and planning: IPS construction, tax-aware investing, asset location, tax-loss harvesting (dedicated workflow skill), performance attribution (Brinson, factor-based).

Personal finance: Debt prioritization, mortgage and loan analysis, emergency fund sizing, savings goals, liquidity management, equity compensation (RSU/ISO/NSO, AMT, concentrated stock), retirement decumulation (withdrawal rates, RMDs, Social Security claiming), insurance planning, and estate & gifting.

Behavioral finance: Cognitive biases, nudges, emotional discipline.

Reporting: Risk-adjusted performance ratios, performance reports, benchmark comparison, goal progress tracking.

38 skills. Python scripts for quantitative skills (risk, performance metrics, and core math).

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compliance — US Securities Regulatory Guidance

Guidance-only (no Python scripts). Skills teach Claude how to flag problems and share distilled knowledge from public compliance guides, SEC/FINRA enforcement actions, and industry practice. All skills cite specific rule numbers and act sections.

Skill	Coverage
investment-suitability	FINRA Rules 2111/2090, reasonable-basis/customer-specific/quantitative suitability
know-your-customer	CIP, CDD, beneficial ownership, customer profiling, EDD
anti-money-laundering	BSA/AML, CTRs, SARs, OFAC screening, structuring detection
reg-bi	SEC Reg BI disclosure, care, conflict of interest, and compliance obligations
fiduciary-standards	IA Act §206, SEC 2019 Interpretation, ERISA §404, DOL rules
fee-disclosure	ADV Part 2A Item 5, Reg BI cost disclosure, 12b-1, wrap fees, ERISA 408(b)(2)
advice-standards	IA Act §202(a)(11), the investment advice vs. education bright line
sales-practices	Churning, breakpoint abuse, selling away, unauthorized trading, supervision
advertising-compliance	SEC Marketing Rule (206(4)-1), FINRA Rule 2210, performance advertising
client-disclosures	Form ADV, Form CRS, Reg S-P, trade confirmations, delivery timing
conflicts-of-interest	Reg BI COI obligation, fiduciary duty, FINRA compensation rules
books-and-records	SEC 17a-3/17a-4, Rule 204-2, WORM storage, electronic communications archiving
regulatory-reporting	Form PF, 13F/13H, Form ADV amendments, FOCUS reports, CAT reporting
gips-compliance	CFA Institute GIPS: composites, performance presentation, verification
privacy-data-security	Reg S-P, Reg S-ID, SEC cybersecurity rules (2023), state privacy law
examination-readiness	SEC/FINRA exam process, document production, deficiency findings, mock exam frameworks
private-placements	Reg D 506(b)/(c), accredited investor and qualified purchaser tests, Form D, FINRA 5122/5123

17 skills.

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advisory-practice — Front Office Systems

Teaches Claude how advisor platforms work so it can help design, evaluate, or integrate with them. Covers the full advisor workflow from client onboarding through reporting.

Skill	Coverage
client-onboarding	Digital onboarding, document collection, KYC integration, e-signature, NIGO handling
crm-client-lifecycle	Client segmentation, household management, service tiers, review scheduling
portfolio-management-systems	Model portfolios, sleeve/UMA/SMA management, drift monitoring, held-away aggregation
order-management-advisor	Advisor order entry, block trading, allocation, pre-trade compliance
financial-planning-integration	Planning tool data flows, goal-based plans, Monte Carlo, plan-to-portfolio linkage
proposal-generation	Risk profiling output, model recommendation, fee illustration, compliance review
advisor-dashboards	Practice analytics, AUM/revenue/flows, exception and alert dashboards
next-best-action	Event-driven triggers, prioritization scoring, advisor nudges, automated workflows
fee-billing	Fee calculation (tiered, flat, breakpoint), billing cycles, revenue recognition
client-reporting-delivery	Report generation, delivery channels, frequency management, compliance review
client-review-prep	Pre-meeting review preparation, performance summary, drift analysis, talking points
financial-planning-workflow	End-to-end financial plan assembly, retirement modeling, scenario analysis

12 skills.

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trading-operations — Order Lifecycle and Execution

Order lifecycle from entry through settlement. Serves advisor, algorithmic, and client-direct trading contexts.

Skill	Coverage
order-lifecycle	Order states, FIX protocol basics, order types, time-in-force, cancel/replace
trade-execution	Best execution, venues, smart order routing, TCA
pre-trade-compliance	Rule engines, concentration limits, restricted lists, hard/soft blocks
post-trade-compliance	Trade surveillance, pattern detection, best execution review, allocation fairness
settlement-clearing	T+1, DTC/NSCC, fails management, corporate actions on settlement, DVP/RVP
exchange-connectivity	Venue connectivity, market data feeds, FIX sessions, trading halts, circuit breakers
margin-operations	Reg T, maintenance margin, portfolio margin, margin calls, liquidation waterfall
operational-risk	Trade breaks, settlement fails, error handling, loss event taxonomy, KRIs
counterparty-risk	Counterparty exposure, credit risk monitoring, netting, collateral management

9 skills.

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client-operations — Account Lifecycle and Servicing

Back-office account operations and servicing workflows.

Skill	Coverage
account-opening-workflow	Account types, required docs, approval workflows, NIGO management, regulatory holds
account-opening-compliance	CIP/KYC integration, suitability checks, OFAC screening, beneficial ownership
account-maintenance	Address changes, beneficiary updates, re-registration, cost basis, restrictions
account-transfers	ACAT, non-ACAT, partial transfers, journal entries, rollovers, estate transfers
reconciliation	Position/cash/transaction recon, break identification, three-way reconciliation
corporate-actions	Mandatory/voluntary actions, dividends, splits, M&A, tender offers, record dates
stp-automation	STP design, exception-based workflow, STP rate metrics, integration patterns
workflow-automation	BPM concepts, task routing, approval chains, escalation, SLA monitoring

8 skills.

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data-integration — Reference Data and Integration

Data foundations that every financial system depends on.

Skill	Coverage
reference-data	Security master, client master, account master, CUSIP/ISIN/SEDOL/FIGI, pricing
market-data	Real-time vs delayed, Level 1/2/3, data vendors, consolidated tape, licensing
integration-patterns	API design for financial systems, FIX, ISO 20022, event-driven, idempotency
data-quality	Golden source, data lineage, validation rules, exception management, governance

4 skills.

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Installation

Option 1: Claude Code Marketplace (Recommended)

Install via Claude Code's built-in plugin system:

/install JoelLewis/finance_skills

Option 2: npx skills

Use npx skills to install skills directly:

# Install all skills
npx skills add JoelLewis/finance_skills

# Install specific plugins
npx skills add JoelLewis/finance_skills --plugin wealth-management

# List available plugins
npx skills add JoelLewis/finance_skills --list

Option 3: install.sh (Symlink)

Clone the repo and use the included installer, which symlinks skills into your project so updates are reflected immediately:

git clone https://github.com/JoelLewis/finance_skills.git
cd finance_skills

# Install a single plugin
./install.sh --plugin wealth-management --target /path/to/your/project

# Install all plugins
./install.sh --plugin all --target /path/to/your/project

# List available plugins
./install.sh --list

The installer always installs core first (implicit dependency), then any declared plugin dependencies, then symlinks each skill into <target>/.claude/skills/.

Option 4: Clone and Copy

Copy skills directly without symlinks:

git clone https://github.com/JoelLewis/finance_skills.git
mkdir -p /path/to/your/project/.claude/skills

# Copy a single plugin
cp -r finance_skills/plugins/core/skills/* /path/to/your/project/.claude/skills/
cp -r finance_skills/plugins/wealth-management/skills/* /path/to/your/project/.claude/skills/

# Or copy everything
for plugin in finance_skills/plugins/*/; do
  cp -r "$plugin"skills/* /path/to/your/project/.claude/skills/
done

What Gets Installed

your-project/
└── .claude/
    └── skills/
        ├── return-calculations/    # from core
        ├── time-value-of-money/    # from core
        ├── statistics-fundamentals/ # from core
        ├── historical-risk/        # from wealth-management
        └── ...

After installing, Claude will automatically pick up the skills. Verify with:

ls /path/to/your/project/.claude/skills/

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Plugin Dependency Graph

core (implicit — always installed)
  ├── wealth-management
  ├── compliance  ←── (recommended for all plugins)
  ├── advisory-practice  ←── depends on wealth-management
  ├── trading-operations
  ├── client-operations
  └── data-integration

Installing advisory-practice automatically installs core and wealth-management. Installing any plugin automatically installs core.

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Repository Structure

finance_skills/
├── README.md
├── CLAUDE.md                  # Claude Code project instructions
├── .claude-plugin/
│   └── marketplace.json       # Plugin catalog (catalog of record)
├── install.sh                 # Plugin installer (--list, --check)
└── plugins/
    ├── core/
    │   ├── .claude-plugin/
    │   │   └── plugin.json    # Plugin manifest (deps, keywords, scripts flag)
    │   └── skills/
    │       ├── return-calculations/
    │       ├── time-value-of-money/
    │       └── statistics-fundamentals/
    ├── wealth-management/
    │   ├── .claude-plugin/plugin.json
    │   └── skills/            # ... (38 skills)
    ├── compliance/
    │   ├── .claude-plugin/plugin.json
    │   └── skills/            # ... (17 skills)
    ├── advisory-practice/
    │   ├── .claude-plugin/plugin.json
    │   └── skills/            # ... (12 skills)
    ├── trading-operations/
    │   ├── .claude-plugin/plugin.json
    │   └── skills/            # ... (9 skills)
    ├── client-operations/
    │   ├── .claude-plugin/plugin.json
    │   └── skills/            # ... (8 skills)
    └── data-integration/
        ├── .claude-plugin/plugin.json
        └── skills/            # ... (4 skills)

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Skill Template

Each SKILL.md follows a consistent structure:

• Purpose — what the skill enables Claude to do
• When to Use — trigger phrases and situations
• Core Concepts — the domain knowledge, with formulas where applicable
• Key Formulas — reference table (quantitative skills only)
• Worked Examples — concrete scenarios with step-by-step analysis
• Common Pitfalls — mistakes to watch for
• Cross-References — links to related skills in other plugins
• Reference Implementation — pointer to Python script (quantitative skills only)

Compliance and operations skills use scenario-based examples (Scenario / Compliance Issues / Analysis) and cite specific rule numbers inline. Quantitative skills include worked numerical examples and runnable Python scripts.

What Are Plugins?

Each plugin is a collection of SKILL.md files (and optional Python reference scripts) that teach Claude domain knowledge. When installed, Claude can:

• Answer domain-specific questions with regulatory citations and worked examples
• Flag compliance concerns during design discussions
• Generate and explain financial computations
• Assist with building, evaluating, or integrating with financial systems

Plugins are independently installable — pull only the domains your project needs. The core plugin is implicit and always included.

Plugin Architecture

Design Principles

• core is implicit — always installed; every plugin depends on it
• Plugins are independently installable — a project pulls only the domains it needs
• Cross-plugin references are allowed — skills reference related skills in other plugins via cross-references section
• Skills live in .claude/skills/ — installation symlinks a plugin's skills into the target project's skill directory
• No Python scripts for guidance-only skills — compliance/operations plugins are guidance-only; quantitative plugins may have scripts/ subdirectories

Plugin Dependency Graph

core (implicit — always installed)
  ├── wealth-management
  ├── compliance  ←── (recommended for all plugins)
  ├── advisory-practice  ←── depends on wealth-management
  ├── trading-operations
  ├── client-operations
  └── data-integration

SKILL.md Template

Each skill follows this structure:

---
name: <skill-name>
description: <one-line description used for skill matching>
allowed-tools: ["Bash", "Read", "Write", "Edit"]
---

# <Skill Title>

## Purpose
What this skill enables Claude to do.

## Layer
N — Layer Name

## Direction
retrospective | prospective | both

## When to Use
- Trigger phrases and situations

## Core Concepts
### <Concept>
Explanation with formulas.

## Key Formulas (optional — omit for non-quantitative skills)
| Formula | Expression | Use Case |

## Worked Examples
### Example 1: <title>
**Given:** ... **Calculate:** ... **Solution:** ...
(Compliance/operations skills use scenario-based examples:
**Scenario:** ... **Compliance Issues:** ... **Analysis:** ...)

## Common Pitfalls
- Things to watch out for

## Cross-References
- Related skills

## Reference Implementation (optional — omit for guidance-only skills)
See `scripts/<name>.py` for computational helpers.

---

Cross-Plugin Connection Registry

Connection	Skills Involved	Nature
Amortization math	time-value-of-money → lending, debt-management	Shared formulas
Margin/SBLOC liquidity	lending ↔ liquidity-management	Cross-reference
Borrowing vs repayment	lending ↔ debt-management	Cross-reference
Behavioral valuation	qualitative-valuation ↔ finance-psychology	Cross-reference
Retro/prospective chain	performance-metrics → performance-attribution → performance-reporting	Data flow
Prospective → allocation	forward-risk, volatility-modeling → asset-allocation	Input/output
Covariance matrix flow	statistics-fundamentals → historical-risk, forward-risk, diversification, asset-allocation	Shared computation
Return math flow	return-calculations → nearly every skill	Foundation
Suitability → policy	investment-suitability → investment-policy	Suitability obligations inform IPS constraints
KYC → suitability	know-your-customer → investment-suitability, reg-bi	Customer profile feeds suitability/BI analysis
KYC → AML	know-your-customer → anti-money-laundering	CDD/CIP feeds AML monitoring
Fiduciary vs Reg BI	fiduciary-standards ↔ reg-bi	Parallel standards for IAs vs BDs
Advice line	advice-standards → fiduciary-standards, reg-bi	Determines which standard applies
Fee transparency	fee-disclosure → fund-vehicles, investment-policy	Fee rules constrain product/policy design
Sales oversight	sales-practices → investment-suitability, reg-bi	Supervision enforces suitability/BI
Marketing rules	advertising-compliance → performance-reporting, performance-metrics	Constrains how performance can be presented
Disclosure docs	client-disclosures → fee-disclosure, conflicts-of-interest	Delivery vehicles for fee and COI disclosures
COI across layer	conflicts-of-interest → reg-bi, fiduciary-standards, sales-practices	COI obligation embedded in multiple standards
Records foundation	books-and-records → client-disclosures, sales-practices, anti-money-laundering	Retention rules underpin all compliance recordkeeping
Reporting mechanics	regulatory-reporting → anti-money-laundering, client-disclosures, know-your-customer	Filing obligations tie to KYC, AML, and disclosure data
GIPS performance chain	gips-compliance → performance-metrics, performance-attribution, performance-reporting	GIPS constrains calculation, attribution, and presentation
Privacy data flows	privacy-data-security → client-disclosures, know-your-customer, books-and-records	NPI protection overlays disclosure, KYC, and retention
Exam readiness umbrella	examination-readiness → all compliance skills	Exam preparation draws on every compliance domain
Review prep workflow	client-review-prep → performance-reporting, performance-attribution, rebalancing, tax-efficiency, investment-policy	Meeting preparation assembles data from multiple knowledge skills
Financial plan orchestration	financial-planning-workflow → savings-goals, debt-management, emergency-fund, liquidity-management, tax-efficiency, investment-policy	Planning workflow references underlying knowledge skills
TLH workflow depth	tax-loss-harvesting ↔ tax-efficiency, rebalancing	Dedicated TLH workflow extends broader tax-efficiency coverage and coordinates with rebalancing
Plan to review cycle	financial-planning-workflow ↔ client-review-prep	Plan progress is reviewed in client meetings; reviews may trigger plan updates

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