Tax, Legal, and Compliance

Compliance: 10 AI prompts for finance workflows

Use these Compliance prompts to turn a loosely defined finance task into a clearer, copy-ready AI workflow.

A useful addition from our prompt packs: Compliance-Driven AI Trading Review

Edit highlighted fields Copy-ready prompt

Copy-ready Compliance finance prompts

Investor Compliance Research Guide

Universal template Medium

Identifies regulatory obligations that may affect a financial activity based on jurisdiction, user type, product, communication, and platform.

ID 71

Act as a financial-compliance research specialist in United States. I am a retail investor / active trader / crypto investor / content creator engaged in specific financial activity on the crypto market. Ask the questions needed to identify relevant regulators, rules, restrictions, disclosures, records, and platform obligations. Cite current official sources and distinguish confirmed requirements from issues that require qualified legal or compliance advice.

KYC and Source-of-Funds Documentation

Beginner

Helps prepare a truthful, documented source-of-funds explanation for KYC and AML checks without suggesting concealment or evasion.

ID 72

Act as an AML/KYC documentation specialist in United States. I need to prepare a source-of-funds file for the crypto market. The funds come from $10,000. Help me draft a factual explanation, list commonly requested evidence, create a fill-in transaction timeline, and identify inconsistencies I should resolve. Do not invent documents or suggest hiding information, and tell me to confirm the institution's exact requirements.

Financial Promotions and Disclosure Review

Medium

Reviews public investment content for unsupported claims, conflicts of interest, missing disclosures, and jurisdiction-specific promotion rules.

ID 73

Act as a financial-communications compliance reviewer in United States. I plan to publish about ETF portfolio on platform and have holdings/referral links/sponsorships/none. Review paste text for unsupported or misleading claims, omitted risks, conflicts, missing disclosures, and possible promotion restrictions. Suggest clearer, more cautious wording, cite current official rules, and mark every point that requires professional compliance review before publication.

Material Nonpublic Information and Market-Abuse Review

Medium

Helps assess conservatively whether information may be material and nonpublic and what actions reduce insider-trading or market-abuse risk.

ID 74

Act as a market-abuse research specialist in United States. I received information from work/social/media/private group about ETF portfolio. Help me assess whether it could be material and nonpublic, which activities may be prohibited, and which conservative steps I should take. Do not conclude that trading is lawful when facts are incomplete; cite current official sources and identify when I should refrain from acting and seek qualified legal advice.

Potential Market-Manipulation Risk Review

Medium

Reviews planned trading and communications for risks such as pump-and-dump activity, spoofing, wash trading, or undisclosed coordination.

ID 75

Act as a market-surveillance research specialist in United States. Review my proposed trading and communication plan: describe actions, order types, posting plans. Identify behavior that could be interpreted as manipulation, explain the concern, and suggest legitimate alternatives that may achieve the operational objective. Cite current regulatory sources and refer unresolved legal questions to a qualified professional.

Cross-Border Residency and Platform Access Review

Medium

Checks potential restrictions when a user lives abroad, changes residence, or accesses a financial platform across borders.

ID 76

Act as a cross-border regulatory research specialist. My citizenship is United States, my legal and tax residence is United States, and I want to use platform to trade ETF portfolio. Identify possible onboarding, residency, tax-reporting, sanctions, product, and contractual restrictions. Cite current official and platform sources, state the date, distinguish citizenship from residence, and list the issues that require confirmation by a qualified professional.

Trading Records and Audit Readiness

Medium

Designs a reconciled recordkeeping system for reviews by brokers, banks, auditors, tax authorities, or regulators.

ID 77

Act as a compliance-operations specialist in United States. I trade across brokers/exchanges/wallets. Design a recordkeeping system for trades, transfers, balances, cost basis, identifiers, communications, statements, and supporting evidence. Define reconciliation frequency, integrity checks, access controls, backups, and retention periods. Cite applicable official requirements and distinguish legal obligations from prudent operational practices.

General Education versus Regulated Advice

Medium

Explains the boundary between general financial education and regulated personalized advice without treating a disclaimer as automatic protection.

ID 78

Act as an investor-protection and compliance research specialist in United States. Explain the difference among general education, market commentary, promotion, and regulated investment advice. Show cautious and problematic examples, and analyze how personalization, compensation, calls to action, audience relationship, and product risk affect the boundary. Cite current official sources and create a pre-publication checklist, while making clear that wording alone cannot remove a regulatory obligation.

Conflict-of-Interest Disclosure Framework

Medium

Identifies and communicates conflicts arising from personal holdings, compensation, affiliate links, sponsorships, or other incentives.

ID 79

Act as a financial-conflicts disclosure specialist in United States. I discuss or promote ETF portfolio and may have holdings/referrals/paid partnerships. Identify relevant financial and nonfinancial conflicts, draft specific plain-language disclosure, and explain where, when, and how prominently it should appear. Cite current official requirements and identify what needs professional compliance review.

Personal Compliance Risk Review for Investors

Pro

Performs an initial review of an investor's activity to identify gaps in conduct, records, platform use, conflicts, and public communications.

ID 80

Act as a compliance research specialist in United States. Ask targeted questions about my trading, platforms, account access, recordkeeping, conflicts, public communications, and controls. Summarize identified risks by likelihood and impact, explain the evidence behind each finding, and prioritize corrective actions. Cite current official sources, state the assessment's limitations, and refer legal conclusions to a qualified professional.

Copy the full subcategory

Includes subcategory info, prompt IDs, descriptions, difficulty, and prompt text.

How to use AI prompts for compliance reviews

A compliance prompt should map a defined activity to obligations, evidence, controls, and ownership. Avoid generic checklists by identifying who is acting, for whom, in which jurisdiction, and through which product or channel.

Describe the regulated activity, customer type, geography, legal entity, product, data flow, and relevant third parties.
Map each obligation to a control, control owner, evidence, review frequency, exception path, and remediation deadline.
Distinguish law, regulator guidance, and internal policy, then obtain legal or compliance approval before implementation.