anotb/second-line-financial-services
50 skills · 7 total installs
$npx skills add anotb/second-line-financial-servicesSkillInstalls
criticality-assessmentSets the criticality tier of a single third-party arrangement and ties it to the firm's important business service, recovery time and recovery point…cyber-disclosure-readinessDrafts the second-line readiness pack for SEC cybersecurity disclosure: 8-K Item 1.05 trigger and materiality workpaper for a live or suspected material…evidence-request-builderDrafts the provided-by-client (PBC) evidence request list for a single control test cycle: one numbered row per ask, each carrying the control objective…exception-analysisClassifies the deviations a control test surfaced into design gaps, operating-effectiveness failures, evidence gaps, scope disagreements, data-integrity…issue-writeupDrafts a single issue write-up using the condition / criteria / cause / effect (CCCE) structure plus severity rationale, remediation, named owner, target date,…marketing-claim-reviewDrafts a second-line marketing-claim review memo for one creative or one campaign of consumer-financial marketing.negative-news-triageTriages an adverse-media or negative-news hit set against a specific customer or entity for identity confidence, source reliability, recency, materiality to…adverse-action-reviewReviews a population of adverse-action notices and the underlying credit decisions field-by-field — timing, content, specificity of cited reasons, traceability…agentic-ai-controlsReviews and proposes controls for an agentic AI use case (an AI system that selects actions, calls tools, reads or writes systems of record, or operates with…ai-act-triageClassifies an AI use case under the EU AI Act (Regulation (EU) 2024/1689) and produces the obligations the firm picks up at the resulting classification.ai-risk-tieringAssigns a defensible risk tier (tier-1 through tier-4) to an AI or model use case using a multi-factor rubric, and books the tier alongside the named gates and…ai-use-case-intakeTurns a first-line AI or model use case description into a structured intake record at the front of the AI governance pipeline.aml-model-monitoringReviews ongoing-monitoring evidence for an AML transaction-monitoring system, scoping which components of the stack sit inside the model-risk perimeter under…attestation-packDrafts the periodic management attestation pack a senior officer takes into the certification meeting: scope statement, source criteria, control inventory,…bcbs239-gap-assessmentDrafts a gap assessment of the firm's risk data aggregation and risk reporting posture against the fourteen BCBS 239 principles, organised by the four BCBS…board-ai-risk-packDrafts the AI risk committee pack the AI Governance Lead carries into the meeting: AI inventory state with heat map by tier, top AI risks with trajectory,…cdd-risk-reviewQuality-reviews a customer due diligence file (new account, periodic refresh, or event-driven refresh) against the four CDD pillars and named CDD examination…complaint-theme-analysisAggregates and themes a population of consumer complaints (CFPB Complaint Database extracts, internal complaint-management records, app-store reviews, social…concentration-risk-reviewDrafts a portfolio-level concentration view across the firm's third-party arrangements.contract-gap-reviewReviews a third-party contract or master services agreement against named regulatory clause-coverage expectations and produces a clause-by-clause gap matrix…control-matrixBuilds the named-row risk-control matrix that maps obligations to control objectives, control activities, owners, frequency, evidence pointers, test methods,…control-samplingDesigns the sample for a control test before fieldwork starts.edd-escalation-packDrafts an enhanced due diligence escalation pack for a higher-risk customer profile (PEP, private banking, foreign correspondent, cash-intensive business,…evidence-binderAssembles the evidence binder index for a regulatory exam, internal audit fieldwork pack, model-validation evidence pack, vendor-review pack, committee…exam-briefDrafts the engagement playbook a regulatory affairs lead, head of compliance, head of legal, or CRO chief of staff runs during a live regulator engagement.fair-lending-test-planDrafts a fair-lending test plan covering scope, products, decision points (marketing, underwriting, pricing, steering, servicing, loss mitigation), planned…genai-pre-prod-reviewPre-production gate review for a GenAI use case before initial release or material expansion.human-review-gatesBuilds the named-gate matrix for an artifact, decision, or workflow: gate name, stage in workflow, trigger, required reviewers (with independence), required…implementation-planSequences a regulatory remediation into the workplan a regulatory-change PMO, head of compliance, transformation lead, or business sponsor runs to a mandatory…kri-commentaryDrafts second-line commentary on KRI / KCI movement and breaches for a periodic risk report.llm-vendor-evidence-reviewReviews a foundation-model vendor's published evidence pack (system card, model card, evaluation reports, red-team summaries, security and privacy…management-responseDrafts the management response to a regulator finding, an internal-audit finding, or an external-assessor observation: acceptance posture, root-cause…model-card-builderDrafts a model card for a financial-services AI or model use case, with named sections for intended use, training and reference data, performance, limitations…obligation-mappingConverts any source document (rule text, supervisory guidance, exam manual, exam request list, supervisory letter, regulator speech, internal policy,…policy-diffCompares two versions of a firm policy (or a proposed policy edit against the current approved version) and produces a section-by-section change log with…policy-gap-reviewReviews a firm policy or procedure (or a small set of related policy artefacts) against a named, dated benchmark of obligations or supervisory expectations and…prompt-injection-riskReviews the prompt-injection threat surface for a deployed or near-deployed GenAI use case in a regulated financial-services firm.qa-workpaperReviews a completed control-test workpaper for QA along named dimensions: scope alignment to the test plan, source-criteria sufficiency, evidence reliability,…rag-evaluation-reviewReviews the retrieval and grounding evaluation for a RAG-based GenAI use case in a regulated financial-services firm.regulatory-impact-assessmentDrafts a second-line impact assessment for a published rule, supervisory letter, FIL, circular, bulletin, industry letter, adopting release, advisory,…risk-committee-packDrafts the enterprise risk committee pack a CRO carries into the meeting: heat map by risk type, top risks, material risk events, KRI movement and breaches…rule-to-obligation-extractionDecomposes a discrete piece of net-new regulatory rule text into atomic obligations.sanctions-screening-qaQuality-reviews a sanctions screening program against named regulatory frames: list-management governance, customer and transaction screening configuration,…sar-decision-qaQuality-reviews a SAR or no-SAR decision file against named SAR rules and the FFIEC SAR examination expectations.scopingProduces a scoping charter and a structured scope record that downstream second-line skills consume.section1071-readinessDrafts a Section 1071 small-business lending data readiness assessment under the CFPB's revised final rule (May 1, 2026; effective June 30, 2026; compliance…test-plan-builderDrafts the pre-fieldwork test plan for a single control test cycle: scope, control objective, named source criteria, period, population, sampling reference,…udaap-risk-reviewDrafts a second-line UDAAP review memo for a product, feature, fee, disclosure or customer-experience flow, marketing motion, complaint pattern, or enforcement…validation-planDrafts the validator-side scope contract for an AI or model use case before testing starts.workpaper-drafterDrafts the testing workpaper for a single control test cycle once evidence has been inspected and procedures executed.