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

fin-guru-compliance-review

GitHub

执行金融交付物的合规审查，验证免责声明、数据来源、风险披露及监管合规性。集成ITC风险评分工作流，依据阈值判定批准或拦截，确保输出符合教育定位与风控要求。

.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检查投资建议的风险披露是否充分验证数据引用来源的准确性与时效性

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.

Capability probe

Before validating an externally sourced filing or issuer claim, follow the shared paid MCP capability probe. This workflow wants financial-datasets for normalized filing data. If it is absent, announce a primary-source regulator/issuer WebSearch fallback and the manual-validation caveat, or stop when the claim cannot be verified reliably.

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 -m src.analysis.itc_risk_cli TICKER --universe tradfi

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

# Full risk band analysis
uv run python -m src.analysis.itc_risk_cli 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)