Compliance & Regulatory

AI skills for AML transaction screening, KYC documentation review, regulatory change tracking, banking compliance, forensic accounting, and ESG reporting.

12 skills

Finance AI Skills are instruction files for AI agents. They do not constitute financial, legal, tax, or investment advice. Always verify AI-generated outputs with a qualified professional before acting on them. Finatune is not responsible for outcomes resulting from use of these skill files.

FreeFinatune OriginalProprietary

Auditing AML Transactions

Screen transactions for suspicious AML patterns, apply red flag typologies, and structure SAR narratives.

Banking Regulatory Compliance

Map banking operations to regulatory requirements including Basel III/IV, IFRS 9, and local laws.

ESG Reporting

Prepare ESG disclosure reports mapped to GRI, SASB, and TCFD frameworks with carbon footprint data.

Forensic Accounting

Investigate financial fraud and irregularities with transaction pattern analysis and evidence documentation.

Author: GAJETOso

ClaudeChatGPTCursor

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FreeFinatune OriginalProprietary

Reviewing KYC Documentation

Evaluate KYC documentation against CIP, CDD, and EDD requirements with structured review summaries.

Author: Finatune

ClaudeChatGPTGemini

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FreeFinatune OriginalProprietary

Tracking Regulatory Changes

Monitor regulatory developments, assess compliance gaps, and plan implementation timelines for new rules.

AML Compliance Workflow

Design AML compliance workflows with BSA requirements, suspicious activity monitoring, and program documentation.

Fiduciary Duty Analysis

Analyze investment adviser fiduciary obligations with IA Act Section 206 and SEC guidance citations.

KYC Document Screening

Parse and evaluate KYC onboarding documents, run compliance rules, and flag documentation gaps.

Regulatory Reporting Workflow

Structure regulatory reporting workflows including Form ADV preparation and SEC filing compliance.

Suitability Analysis

Assess investment suitability for retail clients under FINRA Rule 2111 and SEC Regulation Best Interest.

Trade Compliance

Review trade orders for compliance with FINRA and SEC rules including best execution and restricted securities screening.

Author: Joel Lewis

ClaudeChatGPTGemini

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