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Financial compliance

Skill bromso/metapowers/plugins/compliance/skills/financial-compliance

A Claude Code plugin that adds an agentic skills framework, with MCP's and a meta prompting processes. Inspired by "Superpowers" & "Figma Console MCP", but not just for development or design; but for all aspect within the digital production cycle.

Install
npx -y skills add bromso/metapowers --skill financial-compliance

Assembled from the repository path, not quoted from the project. Check it against their README if it does not work.

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Assess financial regulatory compliance — FINRA, SOX, SEC reporting requirements

SKILL.md

4.1 KB, as published. Nobody here has run it

Financial Regulatory Compliance Assessment

Assess financial regulatory compliance for "$ARGUMENTS". Evaluate FINRA cybersecurity requirements, SOX IT controls, and SEC reporting obligations.

Prerequisites

Read .metapowers/compliance/$ARGUMENTS/00-scope.md. If this file does not exist, tell the user:

Phase 0 (Scope) has not been completed for "$ARGUMENTS". Run /compliance:regulatory-landscape $ARGUMENTS first, or use --skip-checks to bypass.

If --skip-checks is present in $ARGUMENTS, skip this check.

Process

  1. Read context files:

    • Read plugins/compliance/shared/grc-lifecycle-guide.md for GRC methodology reference
    • Read plugins/compliance/shared/assessment-template.md for output structure
    • Read .metapowers/compliance/$ARGUMENTS/00-scope.md for scope and control framework context

  2. Applicable regulation determination:

    • Determine entity type (broker-dealer, investment adviser, public company, bank, fintech)
    • Identify applicable regulations based on entity type and activities
    • Assess regulatory registration status and obligations
    • Document applicable regulatory landscape

  3. FINRA compliance assessment:

    • Assess cybersecurity program requirements (FINRA Rule 3110, Reg S-P, Reg S-ID)
    • Evaluate record retention obligations (SEC Rule 17a-4, FINRA Rule 4511)
    • Assess customer data protection and privacy (Reg S-P safeguards rule)
    • Review identity theft prevention (Red Flags Rule / Reg S-ID)
    • Evaluate breach reporting requirements
    • Assess business continuity planning (FINRA Rule 4370)
    • Review supervisory procedures for technology and cyber risks

  4. SOX (Sarbanes-Oxley) assessment:

    • Assess IT General Controls (ITGCs) for financial reporting systems
    • Evaluate access controls to financial systems and data (logical access, segregation of duties)
    • Review change management procedures for financial applications and infrastructure
    • Assess computer operations (job scheduling, backup, batch processing)
    • Evaluate audit trail integrity and log management for financial transactions
    • Review IT risk assessment related to financial reporting
    • Assess service organization controls (SOC 1 reports from vendors)
    • Evaluate management's assessment of internal controls (Section 404)

  5. SEC reporting requirements:

    • Assess cybersecurity disclosure rules (2023) compliance
    • Evaluate material incident reporting readiness (Form 8-K, 4 business days for material incidents)
    • Review annual cybersecurity risk management and strategy disclosure (Form 10-K)
    • Assess governance disclosure requirements (board oversight, management role)
    • Evaluate materiality determination process for cyber incidents
    • Review third-party risk disclosure obligations

  6. Cross-regulation compliance:

    • Identify overlapping requirements across FINRA, SOX, and SEC
    • Assess unified control framework feasibility
    • Map shared controls to reduce compliance burden
    • Identify gaps unique to each regulation

  7. Write the artifact to .metapowers/compliance/$ARGUMENTS/01-assess/financial-compliance.md following the assessment template structure with:

    • Entity Classification — type, registrations, and applicable regulations
    • FINRA Assessment — cybersecurity, record retention, customer protection scoring
    • SOX ITGC Assessment — access controls, change management, operations, audit trail
    • SEC Reporting Readiness — incident reporting, annual disclosure, governance
    • Cross-Regulation Matrix — overlapping controls and unique requirements
    • Evidence Inventory — existing evidence and evidence gaps
    • Remediation Priorities — ranked list of gaps to address

Output

The financial regulatory compliance assessment written to .metapowers/compliance/$ARGUMENTS/01-assess/financial-compliance.md. Present a summary to the user highlighting:

  • Applicable regulations by entity type
  • Compliance score per regulatory framework (FINRA, SOX, SEC)
  • SOX ITGC readiness level
  • Top 3 gaps requiring remediation

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