regulatory-compliance

Plugin regulatory-compliance from marketplace ravenclaude in mcorbett51090/RavenClaude. Commands read from the repo's manifest — today.

Skills (11)

• aml-program-review

  Structured review of an AML program against FATF / FFIEC expectations — the 5 pillars, common findings, regulatory citations with primary sources. Used by `aml-kyc-analyst` (primary).

• bma-licensing-classification

  Classify a Bermuda (non-insurance) entity into its BMA sector + licence class and resolve its AML/ATF position before any capital/Code/filing advice. Used by `bma-financial-institutions-specialist`. Traverses the BMA decision trees, then the sector files.

• compliance-policy-authoring

  Draft or refresh a compliance policy that survives an exam and an annual refresh — scope the regime, keep policy separate from procedure, frame conduct as outcomes, give every layer a cite + named owner + exceptions. Used by policy-and-procedure-writer. Gap analysis against a new regulation stays in

• control-testing

  Compliance / second-line control testing rubric — design adequacy + operating effectiveness for compliance controls (KYC quality, monitoring rule tuning, training coverage, regulatory-mapping freshness). Distinct from SOC1/SOC2 financial-control testing — second-line compliance testing has different

• examination-readiness

  Pre-exam playbook for regulator examinations — PBC tracker, walkthrough rehearsal, mock interviews, exam-week posture, MRA / MRIA / management-letter response patterns. Used by `examination-prep-specialist` (primary).

• kyc-edd-review

  KYC file + EDD review playbook — risk-rating logic, BOI / UBO verification, source-of-wealth vs source-of-funds, EDD trigger conditions, file completeness checklist, sign-off chain. Reach for this skill when reviewing a single customer file, designing the firm's KYC standard, or training analysts. U

• regulatory-mapping

  Map internal controls / policies / procedures to specific regulatory citations (regulator + section + paragraph). Gap-analysis output format. Used by `risk-and-controls-specialist` + `policy-and-procedure-writer`.

• risk-register-build

  Build / refresh an enterprise risk register that survives audit committee scrutiny — three lines of defense assignment, inherent + residual rating math, KRI design, risk-appetite mapping, control coverage, and the half-yearly refresh cadence. Reach for this skill when standing up a new ORM/ERM frame

• sanctions-hit-disposition

  Disposition framework for sanctions screening alerts — true-match vs false-positive triage, secondary-match evidence chain, escalation criteria, documented-rationale template, list-version capture, and the audit-trail requirements that survive examiner review. Reach for this skill when designing the

• sar-narrative-drafting

  Draft SAR / STR narratives that survive regulator review — typology + the W's + what to omit + reviewer sign-off chain. Used by `aml-kyc-analyst` (primary). Confidentiality class always at least client-confidential; often regulator-only.

• supervisory-return-prep

  Period-end supervisory / regulatory return preparation playbook — data lineage, maker-checker, materiality / threshold definitions, common return families (FATCA, CRS, BMA EBS, Solvency II, supervisory returns, capital adequacy / RBC), late-filing protocols. Reach for this skill 4-6 weeks before a p

Slash commands (5)

• /regulatory-compliance:draft-sar-narrative

  Decide reportability then draft a SAR/STR that survives regulator review — classify suspicion-based vs threshold-based vs no-report first, draft the narrative to the W's leading with the typology (the why), record the maker-reviewer-filer chain, and document a no-file decision when nothing fires.

• /regulatory-compliance:prep-for-examination

  Prep for a regulator examination the way it is actually tested — scope the regime first, attach the full evidence stack (policy→procedure→operating evidence→MI→minutes) to every PBC item, rehearse walkthroughs against actual practice, classify any finding's severity before responding, and track reme

• /regulatory-compliance:prepare-supervisory-return

  Prepare a regulatory return that survives an exam — scope the regime first, source-trace every load-bearing cell to a reproducible lineage, explain every material variance vs prior period before submission, fix bad data at the source not in the return, and run a genuine two-person maker-checker chai

• /regulatory-compliance:run-kyc-edd-review

  Run a KYC / EDD review the way an examiner reads it — risk-rate the customer first to select SDD/CDD/EDD depth, make EDD real (independent verification + senior approval + recorded rationale), screen sanctions with list-version capture and binary disposition, and document any no-action decision.

• /regulatory-compliance:write-compliance-policy

  Write a compliance policy that survives an exam and an annual refresh — scope the regime first, keep policy (principles) separate from procedure (steps) on their own approval cadences, frame conduct obligations as outcomes with outcome evidence, and give every layer a cite, a named owner, and an exc

Subagents (12)

• aml-kyc-analyst

  Use this agent for AML / KYC / sanctions / financial-crime work — customer-onboarding KYC, sanctions screening / hit clearing, EDD (enhanced due diligence), SAR / STR narrative drafting, transaction-monitoring rule tuning.

• bahamas-financial-services-specialist

  Use this agent for The Bahamas financial-services work across its FOUR statutory regulators + FIU — Central Bank (CBOB; banks AND trust companies, BTCRA 2020), Securities Commission.

• bermuda-insurance-specialist

  Use this agent for Bermuda-domiciled insurance work — BMA Insurance Act 1978 + Rules / Codes, captives (Class 1 / 2 / 3 / 3A / 3B), commercial insurers (Class 4 / 3A / IIGB), long-term insurers (Class A-E), reinsurers, Insurance-Linked Securities (ILS) / Special Purpose Insurers (SPI).

• bma-financial-institutions-specialist

  Use this agent for Bermuda Monetary Authority (BMA) NON-INSURANCE financial-institution work — Banking & deposit-taking (Banks and Deposit Companies Act 1999 + Code of Conduct 2022 + Basel III for Bermuda Banks), Trust business (Trusts (Regulation of Trust Business) Act 2001).

• channel-islands-specialist

  Use this agent for Channel Islands financial-services work — Jersey (JFSC) and Guernsey (GFSC). NOT for legal opinions.

• cima-cayman-specialist

  Use this agent for Cayman Islands Monetary Authority (CIMA) work across all sectors — Banking (Banks and Trust Companies Act, Category A/B licences, Basel II application), Trust & fiduciary + corporate services.

• examination-prep-specialist

  Use for regulator examination readiness — exam PBC list management, walkthrough rehearsals, mock examiner interviews, examiner Q&A drafting, MRA / MRIA / management-letter responses, and remediation tracking. Spawn weeks before an exam or on a request. NOT for financial-statement audit prep.

• policy-and-procedure-writer

  Use this agent for compliance manual / policy / procedure authoring — new policy drafting, P&P refreshes, gap analysis against new regulation, regulator-facing documentation, jurisdictional adaptation of an existing policy.

• regulatory-reporting-analyst

  Use this agent for regulatory filings — FATCA, CRS, supervisory returns, Solvency II QRTs, BMA EBS, US RBC, statutory financial statements, supervisory reports, capital adequacy calculations. NOT for AML / sanctions specifically (aml-kyc-analyst) and NOT for legal opinions.

• risk-and-controls-specialist

  Use this agent for enterprise risk management — risk-framework design, three lines of defense, risk-appetite statements, risk registers, KRI design, control self-assessment, ORM / ERM. NOT for AML-specific risk (aml-kyc-analyst owns that) and NOT for legal opinions.

• uk-pra-specialist

  Use this agent for UK prudential-regulation work — the Prudential Regulation Authority (PRA, part of the Bank of England) and the FCA/PRA 'twin peaks' boundary. NOT for legal opinions.

• us-financial-regulation-specialist

  Use this agent for United States financial-regulatory work across the fragmented federal + state 'alphabet soup' — the federal banking agencies (FRB, OCC, FDIC, NCUA), FinCEN (BSA/AML, SAR/CTR, the Corporate Transparency Act / BOI), OFAC (sanctions, the 50% Rule), the SEC and FINRA.

Hooks (1)

• PreToolUse

  /usr/bin/env -u BASH_ENV -u ENV -u SHELLOPTS -u BASHOPTS -u LD_PRELOAD -u LD_LIBRARY_PATH -u LD_AUDIT -u DYLD_INSERT_LIBRARIES -u DYLD_LIBRARY_PATH -u PYTHONPATH -u PYTHONSTARTUP PATH=/usr/local/bin:/

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