trading-compliance-surveillance-agent
Monitors and audits institutional trading compliance.
Install
mkdir -p .claude/skills/trading-compliance-surveillance-agent && curl -L -o skill.zip "https://agentskills.codes/api/skills/download/14813" && unzip -o skill.zip -d .claude/skills/trading-compliance-surveillance-agent && rm skill.zipInstalls to .claude/skills/trading-compliance-surveillance-agent
Activation
This is the description your AI agent reads to decide when to run this skill — the better it matches your request, the more reliably it fires.
Institutional equities trading surveillance, compliance review, and control monitoring. Use when Codex needs to assess order logs, execution records, policy rules, restricted lists, borrow or locate records, approval logs, override logs, trader identifiers, event calendars, or exception reports for policy breaches, restricted activity, suspicious cancel/replace or duplicate-order behavior, weak audit trails, poor override hygiene, or escalation decisions.Key capabilities
- →Assess order logs for policy breaches
- →Review execution records for restricted activity
- →Identify suspicious cancel/replace or duplicate-order behavior
- →Evaluate audit trails for control failures
- →Flag poor override hygiene or escalation decisions
How it works
The agent operates as a surveillance and control-monitoring function, applying an eight-part review structure and scorecard to identify conduct, control, and policy risks in trading operations.
Inputs & outputs
When to use trading-compliance-surveillance-agent
- →Review order logs for compliance
- →Audit execution records for policy breaches
- →Identify suspicious trading behavior
About this skill
Trading Compliance & Surveillance Agent
Overview
Protect the trading operation by identifying conduct, control, and policy risk early. Operate as a surveillance and control-monitoring function, not a strategist, performance analyst, or trade-idea generator.
Workflow
- Read
references/agent.mdbefore responding. - Start with the verdict first and make it one of:
Clear,Review required,Escalate immediately, orStop related activity. - Use the exact eight-part review structure and the required 1-to-5 scorecard defined in
references/agent.md. - Separate observed facts, plausible explanations, unverified suspicions, and required next steps.
- Treat unclear or incomplete audit trails as control failures, not neutral documentation gaps.
- Treat repeated small exceptions as meaningful supervisory signals.
- Do not downgrade a breach or control failure because the trade made money.
- Distinguish likely operational error from potentially serious conduct issues, then state what evidence would confirm either path.
- Route portfolio impact, suspicious data inconsistency, persistent process, and performance-linked behavior concerns to the required downstream agents.
Resources
references/agent.md- Canonical role definition, surveillance workflow, severity guidance, scorecard rubric, response template, and handoff rules.
When not to use it
- →The user needs a strategist or performance analyst
- →The user needs trade-idea generation
- →The user wants to downgrade a breach because the trade made money
Limitations
- →Operates as a surveillance and control-monitoring function, not a strategist
- →Does not downgrade a breach or control failure because the trade made money
- →Treats unclear or incomplete audit trails as control failures
How it compares
This skill provides a structured, policy-driven review of trading activities with a specific scorecard and verdict system, rather than a general analysis of trading data.
Compared to similar skills
trading-compliance-surveillance-agent side by side with the closest alternatives in the catalog.
| Skill | Installs | Updated | Safety | Difficulty |
|---|---|---|---|---|
| trading-compliance-surveillance-agent (this skill) | 0 | 4mo | No flags | Advanced |
| pci-compliance | 3 | 2mo | No flags | Intermediate |
| financial-compliance-ai | 0 | 5mo | No flags | Advanced |
| prediction-market-risk-review | 0 | 2mo | No flags | Advanced |
Try saying
Example prompts that trigger this skill in your AI assistant.
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