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-tableRisk 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)