Agent Skills › AojdevStudio/Finance-Guru › fin-guru-compliance-review

fin-guru-compliance-review

GitHub

针对Finance Guru交付物的合规审查技能，验证免责声明、数据引用、风险披露及监管合规性。集成ITC风险评估工作流，依据阈值和决策规则对投资组合进行审批、备注或拦截，确保输出符合金融监管要求。

.claude/skills/fin-guru-compliance-review/SKILL.md AojdevStudio/Finance-Guru

Trigger Scenarios

需要审查金融分析内容的合规性执行投资组合的风险评估与批准

Install

npx skills add AojdevStudio/Finance-Guru --skill fin-guru-compliance-review -g -y

More Options

Non-standard path

npx skills add https://github.com/AojdevStudio/Finance-Guru/tree/main/.claude/skills/fin-guru-compliance-review -g -y

Use without installing

npx skills use AojdevStudio/Finance-Guru@fin-guru-compliance-review

指定 Agent (Claude Code)

npx skills add AojdevStudio/Finance-Guru --skill fin-guru-compliance-review -a claude-code -g -y

安装 repo 全部 skill

npx skills add AojdevStudio/Finance-Guru --all -g -y

预览 repo 内 skill

npx skills add AojdevStudio/Finance-Guru --list

SKILL.md

Frontmatter

{
    "name": "fin-guru-compliance-review",
    "description": "Execute comprehensive compliance reviews for Finance Guru deliverables. Validates disclaimers, data handling, risk disclosures, and regulatory positioning."
}

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)