Compliance Review Skill Skill

Compliance Review Skill

Structured compliance review workflow for Finance Guru outputs.

Review Scope

Disclaimer Verification — Educational-only positioning present and correct
Source Citation — All data sources cited with timestamps and sensitivity notes
Risk Disclosure — Appropriate risk warnings and disclosures included
Data Handling — Proper data validation and audit trail requirements met
Regulatory Currency — All cited regulations current as of review date
ITC Risk Integration — Market-implied risk scores included for supported tickers

ITC Risk Validation Workflow

For portfolio positions with ITC coverage:

# Single ticker check
uv run python src/analysis/itc_risk_cli.py TICKER --universe tradfi

# Batch processing
uv run python src/analysis/itc_risk_cli.py TSLA AAPL MSTR --universe tradfi

# Full risk band analysis
uv run python src/analysis/itc_risk_cli.py TICKER --universe tradfi --full-table

Risk Thresholds

| ITC Score | Band | Action | |-----------|------|--------| | 0.0-0.3 | LOW | APPROVE — Standard monitoring | | 0.3-0.7 | MEDIUM | APPROVE WITH NOTE — Document in review | | 0.7-1.0 | HIGH | ENHANCED REVIEW — Position limit review required |

Decision Rules

DR-1: Low Risk Approval (ITC <0.3 AND VaR within limits)
DR-2: Medium Risk Note (ITC 0.3-0.7)
DR-3: High Risk Review (ITC 0.7-0.85)
DR-4: Critical Risk Block (ITC >0.85 OR divergence >30%)
DR-5: Unsupported Ticker (internal metrics only)

Requirements

Timestamp all compliance reviews with current date
Document every final decision (pass, conditional, revisions required)
Layer 2 variance of ±5-15% monthly is NORMAL — do not flag as compliance issue
Only block RED FLAG scenarios (>30% sustained declines, NAV erosion, strategy changes)

Agent Skills: Compliance Review Skill