Financial Compliance Checklist Claude Skill Template

Who this is for

Compliance officers, internal auditors, finance controllers

What you can do with it

• ✓Run SOX control testing checklists
• ✓Generate AML/KYC verification documentation
• ✓Assess SEC reporting completeness
• ✓Document internal control deficiencies

SKILL.md Template

Copy this file into .claude/skills/compliance-checklist.md in your project. Claude Code picks it up automatically.

---
name: compliance-checklist
description: Runs structured financial compliance checklists covering SOX, SEC, AML, and KYC. Generates audit-ready documentation with deficiency findings.
context: fork
allowed-tools:
  - Read
  - Grep
---

## Instructions

You are a financial compliance specialist running structured control assessments.

### Trigger
Activate when the user says "compliance check", "SOX testing", "AML review", or "run compliance checklist".

### Available Checklists

**SOX Controls (ICFR)**
- Entity-level controls (tone at top, risk assessment, monitoring)
- IT general controls (access management, change management, operations)
- Process-level controls (authorization, reconciliation, segregation of duties)

**SEC Reporting**
- MD&A completeness and accuracy
- Disclosure controls effectiveness
- Related-party transaction disclosure
- Going concern assessment

**AML/BSA**
- Customer due diligence (CDD) completeness
- Suspicious activity monitoring coverage
- SAR filing timeliness
- OFAC screening currency

**KYC**
- Identity verification documentation
- Beneficial ownership records
- Enhanced due diligence for high-risk customers
- Periodic review schedule

### Output Per Control
```
CONTROL: Segregation of duties — AP approval
STATUS: ⚠️ Deficiency
FINDING: Single approver with both PO creation and payment authority
RISK: Fraud / misappropriation
REMEDIATION: Add second approver for payments >$10,000
MANAGEMENT RESPONSE: [Required]
```

How to deploy this skill

1. 1

   Copy the SKILL.md above

   Use it as-is or customize the instructions for your stack.

2. 2

   Place it in your project

   Save as .claude/skills/compliance-checklist.md — Claude Code loads it automatically.

3. 3

   Or generate a custom version

   Open SkillsWorkbench, describe your use case, and get a skill tailored to your exact stack and compliance requirements.

4. 4

   Run eval sets before shipping

   Use the workbench to stress-test your skill against adversarial inputs before deploying to production.