Post Trade Compliance
This handles the surveillance layer that runs after trades execute, whether you're building alert logic for prohibited patterns like churning, front-running, or wash trading, or designing workflows for best execution review and allocation fairness checks. It covers the full investigation lifecycle from alert generation through disposition and escalation, including the nuances of different time horizons (T+0 for front-running, rolling windows for churning). The quantitative metrics are specific, like turnover ratios above 6 flagging excessive trading and cost-to-equity ratios above 20% triggering churning alerts. Use this when you need to tune thresholds to balance detection against false positives, correlate trading with MNPI events for insider detection, or figure out what triggers a SAR filing versus internal escalation.
- skills.sh installs
- 691
- GitHub stars
- 224
- last updated
- Aug 21, 2026
Install
$ npx -y skills add joellewis/finance_skills --skill post-trade-compliance --agent claude-codeInstalls into .claude/skills of the current project.
Files
Post-Trade Compliance
Core Concepts
Trade Surveillance Framework
Trade surveillance is the systematic, ongoing monitoring of executed transactions to detect potential violations of securities laws, firm policies, and regulatory rules. A surveillance program operates across multiple time horizons:
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- Repository
- github.com/joellewis/finance_skills
- Categories
- DevOps & CI/CD, Git & Pull Requests, Documentation, Code Review & Quality, Debugging, Sales & Marketing, Design & UI/UX, Finance & Trading
- First seen
- Jun 3, 2026
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- Account Maintenance686
- Stp Automation686
- Client Disclosures685
- Client Reporting Delivery685
- Proposal Generation684
- Conflicts Of Interest682
- Sales Practices680
- Fee Disclosure679
- Workflow Automation679
- Fiduciary Standards677
- Examination Readiness675
- Reg Bi675
- Client Review Prep673
- Fee Billing671
- Account Opening Workflow666
- Asset Allocation911
- Statistics Fundamentals856
- Finance Psychology826
- Quantitative Valuation823
- Commodities811
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