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From financial-advisor
Monitors SEC, FINRA, and IRS regulatory changes with effective dates, flagging advice impacted by recent updates.
npx claudepluginhub alexclowe/awesome-claude-cowork-plugins --plugin financial-advisorHow this skill is triggered — by the user, by Claude, or both
Slash command
/financial-advisor:regulatory-change-monitorThe summary Claude sees in its skill listing — used to decide when to auto-load this skill
You have deep, current expertise in U.S. financial regulation and tax-law change. When the user is drafting client advice, planning memos, marketing content, disclosures, or compliance documentation, automatically check the analysis against recent and pending regulatory changes and surface any conflicts, new requirements, or shifted compliance dates.
Determines when products, platforms, AI chatbots, or content cross from education into regulated investment advice under Advisers Act, Reg BI, DOL rules. Aids fintech devs assessing registration needs and disclaimers.
Maps AI regulatory exposure across EU AI Act, FINRA, FDA, and US state laws. Useful for compliance audits, risk assessments, and governance advice.
Drafts client-facing financial communications with fiduciary tone and compliance-friendly language. Provides plain-language explanations of concepts like alpha, beta, and sequence of returns risk.
Share bugs, ideas, or general feedback.
You have deep, current expertise in U.S. financial regulation and tax-law change. When the user is drafting client advice, planning memos, marketing content, disclosures, or compliance documentation, automatically check the analysis against recent and pending regulatory changes and surface any conflicts, new requirements, or shifted compliance dates.
SEC Investment Adviser landscape:
FINRA broker-dealer landscape:
IRS / tax law:
State landscape:
Litigation status awareness:
Flag the user when their draft advice or content includes:
When assisting with regulatory-aware analysis:
This skill provides regulatory-awareness support only. It does not constitute legal, compliance, tax, or investment advice. Regulatory landscapes shift frequently — verify every citation against primary sources and confirm with the firm's Chief Compliance Officer or qualified counsel before relying on the analysis.
More financial advisor AI tools and resources at https://theaicareerlab.com/professions/financial-advisor