Financial crime & compliance prompts

# Financial crime & compliance prompts

These prompts cover a full financial-crime analytical lifecycle: detect, monitor, investigate, assess, and report. Each turns an AI assistant into a specific compliance analyst role with a defined method, scoring rubric, and structured output.

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> **This page is written to be read on its own.** Everything you need to use these
> prompts is in this folder. Links out are optional background, never a prerequisite.

|  |  |
|---|---|
| **Who this is for** | Financial-crime analysts and investigators — screening, alert triage, case work, the file/no-file decision, and the second line that quality-checks them. |
| **The question it answers** | How do I work this alert, case, or counterparty to a documented, defensible conclusion? |
| **What these are** | Paste-ready prompt templates. Each file contains one fenced block that *is* the tool: copy it, replace the `{{PLACEHOLDERS}}`, paste it into whatever assistant you already have — Microsoft 365 Copilot, GitHub Copilot, Claude, ChatGPT. |
| **Setup required** | None. Nothing to install, no account, no integration, no repository access. A prompt works when pasted into a locked-down work machine with no file system. |
| **What you get** | A structured, sourced result with a defined method, a scoring rubric, and a fixed output shape — so two analysts running the same prompt produce comparable work. |
| **What they never do** | They draft, score, and structure. They do not decide. Every clear, escalate, block, reimburse, or file decision stays with a person, and an unverifiable claim is labelled or omitted rather than invented. |

### Using one, in about a minute

1. Open any prompt file in this folder and copy the single fenced block under `## The prompt`.
2. Replace every `{{PLACEHOLDER}}` — an unfilled one produces a vague answer.
3. Paste it into your assistant along with the case facts, document, or data.

Want a finished Word / Excel / PDF / dashboard deliverable out of it? Attach one more
file — [`BASE.md`](../../BASE.md) — which carries the writing voice, the quality floor,
and the renderer. **One prompt plus `BASE.md` is the entire system; there is never a
third file**, and a CI job fails the build if any prompt breaks that rule.

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| Prompt | What it does |
|--------|--------------|
| [entity-risk-assessment](entity-risk-assessment.md) | 8-domain weighted risk assessment of an entity; 0-100 composite, 5-tier rating, disposition recommendation |
| [sanctions-watchlist-screen](sanctions-watchlist-screen.md) | Screen a name, entity, or address against OFAC + EU/UN/UK lists with hit disposition |
| [typology-detection-mapping](typology-detection-mapping.md) | Decompose an AML typology into red-flag indicators and transaction-monitoring rule logic |
| [alert-triage](alert-triage.md) | Work a transaction-monitoring alert to a documented close / escalate / refer disposition |
| [investigation-narrative](investigation-narrative.md) | Draft a chronological, evidence-sourced narrative of investigated activity |
| [customer-file-review](customer-file-review.md) | Review a customer risk file for completeness and risk-rating defensibility; deficiencies by severity, remediation actions |

Every prompt is a standalone copy/paste tool — see the [prompt catalog](../README.md) for how the files are built and the [repository overview](../../README.md) for the full toolkit.