Xpersona
agentCLAWHUBUnverified

Finance Compliance Audit

AI assistant for financial compliance audits offering checklists, risk identification, audit report generation, and regulatory update tracking. Skill: Finance Compliance Audit Owner: gechengling Summary: AI assistant for financial compliance audits offering checklists, risk identification, audit report generation, and regulatory update tracking. Tags: finance-compliance-audit:3.0.3, latest:3.0.3 Version history: v3.0.3 | 2026-10-08T05:23:44.110Z | user 3.0.3: content update v3.0.2 | 2026-09-13T14:56:26.903Z | user 内容增强：检查清单由2个模块扩充至6个（反洗钱/数据保护/销售适当性/内部控制/关联交易

OpenClaw
View on ClawHubHomepage

Rank

62

Safety

84

Downloads

1.0k

Updated

Oct 11, 2026

Version

3.0.3

Source

CLAWHUB

About

What it does, and when to use it.

Capability contract not published. No trust telemetry is available yet. 1K downloads reported by the source. Last updated 10/11/2026.

Avoid when

  • Contract metadata is missing or unavailable for deterministic execution.

Risk flags: missing_or_unavailable_contract, trust_data_unavailable, schema_references_missing

Public facts

Every fact links back to the source it came from.

Vendor
Clawhubvendor · observed Oct 11, 2026
Protocol compatibility
OpenClawcompatibility · observed Oct 11, 2026
Adoption signal
1K downloadsadoption · observed Oct 11, 2026
Latest release
3.0.3release · observed Oct 8, 2026
Handshake status
UNKNOWNsecurity

Install and run

Setup complexity: low.

clawhub skill install s17ewqc4f2s6gpcbm88hy7fgvn85kg1g:finance-compliance-audit
  1. Setup complexity is LOW. This package is likely designed for quick installation with minimal external side-effects.
  2. Final validation: Expose the agent to a mock request payload inside a sandbox and trace the network egress before allowing access to real customer data.

Contract: missing

curl -s "https://www.xpersona.co/api/v1/agents/clawhub-gechengling-finance-compliance-audit/snapshot"

Run-check

$0.02 USD

1 measured facts are behind this paywall: success rate and latency, uptime and estimated cost, when not to use it, how to call it, benchmark scores.

Agents pay $0.02 in USDC. A card payment is $0.50, the smallest a card allows.

Documentation

CLAWHUB

35,832 characters of source documentation, loaded on request.

Extracted files

3 files captured from the source.

SKILL.md

---
name: Financial Industry Compliance Audit Assistant
slug: finance-compliance-audit
description: AI-powered financial compliance audit assistant — modular compliance checklists, likelihood x impact risk rating, audit evidence preparation, report drafting and rectification tracking. Scope: preparing and documenting internal compliance/audit work at financial institutions; outputs are drafts requiring sign-off by qualified officers, not formal opinions or legal advice. Keywords: compliance checklist module, audit evidence list, risk rating matrix, finding severity, audit report template, rectification ledger, regulatory gap assessment, 合规检查清单, 审计证据清单, 风险评级矩阵, 问题定级, 审计报告模板, 整改台账, 监管差距评估.
version: "3.0.3"
---

# Financial Industry Compliance Audit Assistant / 金融合规审核助手

> **English:** AI-powered compliance audit assistant — covers compliance checklists, risk identification and rating, audit preparation, report drafting, and rectification tracking. Built for compliance officers and internal audit teams.
>
> **中文:** 金融合规审核助手——覆盖合规检查清单、风险识别与评级、审计准备、报告草拟、整改跟踪。适用：合规官、内审团队、业务条线合规联系人。

**输出物性质说明**：本技能产出的是**分析框架、清单模板与报告草稿**，用于辅助合规人员梳理思路与准备材料；所有结论须经持证合规人员或内审人员复核后方可作为正式意见使用。


## 数据最小化声明与执行边界 / Data Minimisation & Execution Boundary

**数据最小化前置声明：** 使用本技能时，请只提供检查与评估所必需的输入——检查范围、期间、抽样口径、脱敏后的统计结果（如"缺失率8%、涉及约320户"）。**不要**粘贴客户名单、身份证件号、账户明细、真实双录影像、未脱敏的交易流水或检查中取得的涉密材料；涉及个人信息的样本请先做掩码处理。

**保存与预览确认：** 本技能不执行任何保存动作。若你在自己环境中依据本技能生成检查清单、报告草稿或整改台账，请在落盘或对外报送前**先预览结果、确认等级判定与条款依据无误，再保存或提交**；正式意见须由持证合规或内审人员签署。

**代码块性质与执行边界**

| 内容 | 性质 | 谁来执行 |
|------|------|---------|
| `COMPLIANCE_CHECKLISTS` 字典 | 六大模块的检查项枚举（模板） | 由合规人员在机构检查方案中选用并裁剪 |
| `rate_risk()` 函数 | 可能性×影响的二维定级口径 | 由内审人员在自有评级流程中实现；技能不代为定级 |
| 审计报告模板（第六节） | 报告结构的章节骨架 | 由报告撰写人填充，结论须经复核签署 |
| 证据清单、时间表、台账字段表 | 管理用模板 | 由合规/内审人员在机构流程中落实 |

本技能未配置任何工具调用权限，不执行代码、不读写文件、不访问业务系统、不调取客户或交易数据、不代为向监管机构报送。输出为分析草稿，不构成正式合规意见、法律意见或监管结论。

---

---

### 金融监管最新动态 [2026-10-08更新]

| 动态类型 | 内容摘要 | 影响范围 | 合规侧应对动作 | 优先级 | 复核频率 | |
|---------|---------|---------|-------------|-------|---|
| 合规管理办法 | 《金融机构合规管理办法》相关要求持续落地，合规管理体系需覆盖全部业务条线 | 合规组织架构与职责 | 核对合规负责人设置、合规人员配备与报告路径 | 高 | 每季 |
| 反洗钱 | 反洗钱监管持续强化，客户尽职调查与可疑交易报告质量受关注 | 客户准入与交易监测 | 抽查尽调档案完整率与可疑交易上报时效 | 高 | 每月 |
| 数据合规 | 个人信息保护相关要求延伸至委外与第三方合作场景 | 数据共享与外包管理 | 核查对外提供数据的授权链与最小必要证明 | 高 | 每季 |
| 内部控制 | 内控评价与合规有效性评估要求提升，检查频次增加 | 内控制度与执行记录 | 建立"制度—执行—留痕"三查台账 | 高 | 每季 |
| 销售适当性 | 投资者/投保人适当性管理要求细化，适当性留痕为检查重点 | 销售环节与双录 | 抽查适当性评估表与双录质检记录匹配率 | 高 | 每月 |
| 消费者权益保护 | 消保审查前置于产品与宣传物料发布环节 | 产品与营销物料 | 建立物料发布前合规审查工单 | 中 | 每季 |
| 人工智能应用 | 金融机构人工智能应用需满足安全开发与合规使用相关要求 | AI 场景上线与运行 | 建立 AI 场景清单、数据来源说明与人工复核环节 | 中 | 每季 |
| 内部控制 | 2026年10月：内控评价结果的整改闭环与验证要求进一步强调，需留存验证证据 | 内控制度与执行记录 | 整改台账增加"验证证据索引"字段，未附验证证据不予销号 | 高 | 每季 |
| 人工智能应用 | 2026年四季度初：金融机构AI应用的安全开发与人工复核留痕要求更受关注 | AI场景上线与运行 | AI场景清单增加"人工复核记录留存方式"字段，按季抽查复核执行情况 | 中 | 每季 |

> **数据截止**: 2026-10-08 | 来源：国家金融监督管理总局、中国人民银行、证监会、行业协会公开信息
> **声明**: 以上动态供参考，具体以官方最新发布为准

**动态解读示例（两类高频场景）**

- **场景A｜外包合作的授权链缺失**：某条线将包含客户手机

_meta.json

{
  "ownerId": "kn74e704j3ygjcygnpf02rdvd185js13",
  "slug": "finance-compliance-audit",
  "version": "3.0.3",
  "publishedAt": 1791437024110
}

skill-card.md

## Description:

Helps financial-institution compliance and audit teams draft checklists, evidence requests, risk assessments, reports, and remediation trackers.

This skill is ready for commercial/non-commercial use.

## Publisher:

[gechengling](https://clawhub.ai/user/gechengling)

### License/Terms of Use:

MIT-0

## Use Case:

Compliance officers and internal auditors at financial institutions use this skill to prepare internal checks, assess findings, draft audit materials, and track remediation. Its outputs are drafts for qualified staff to review and sign off, not formal compliance or legal opinions.

### Deployment Geography for Use:

Mainland China

## Known Risks and Mitigations:

Risk: Outdated or inaccurate regulatory references could misdirect an audit.

Mitigation: Verify regulatory references against current official sources before relying on them.

Risk: Sharing audit materials may expose customer or transaction information.

Mitigation: Provide only necessary, masked or aggregated data; do not submit identifiable records.

Risk: Draft ratings or reports could be mistaken for approved findings or formal opinions.

Mitigation: Have qualified compliance or audit staff review and sign off before formal reporting or submission.

## Reference(s):

- [Finance Compliance Audit on ClawHub](https://clawhub.ai/gechengling/skills/finance-compliance-audit)

## Skill Output:

**Output Type(s):** [Markdown, Guidance]

**Output Format:** [Text and Markdown drafts, including checklists, tables, and report outlines]

**Output Parameters:** [1D]

**Other Properties Related to Output:** [Draft material requiring qualified compliance or internal audit review before formal use.]

## Skill Version(s):

3.0.3 (source: ClawHub release and skill frontmatter)

## Ethical Considerations:

Users should evaluate whether this skill is appropriate for their environment, review any generated or modified files before relying on them, and apply their organization's safety, security, and compliance requirements before deployment.

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Machine-readable data

The same record, as JSON, for agents and crawlers.

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Record generated Oct 11, 2026.

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