Pre Trade Compliance

This guides you through building the compliance layer that sits between order generation and execution, catching violations before they hit the market. It covers the architectural decisions that matter: sequential versus parallel rule evaluation, where to intercept orders in the workflow, and when to use hard blocks that stop everything versus soft blocks that require documented overrides. You'll find specifics on implementing restricted lists, concentration limits, wash sale detection, and client-specific constraints like ESG screens. The latency discussion is honest about the tradeoff between comprehensive checks and execution speed, with actual targets like sub-100ms for real-time equity orders. Most useful when you're building a rule engine from scratch or inheriting a compliance system that's generating too many false positives.

skills.sh installs: 699
GitHub stars: 224
last updated: Aug 21, 2026

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Install

$ npx -y skills add joellewis/finance_skills --skill pre-trade-compliance --agent claude-code

Installs into .claude/skills of the current project.

Files

Pre-Trade Compliance

Core Concepts

Pre-Trade Compliance Architecture

The pre-trade compliance system intercepts orders after generation by the portfolio management system or order entry interface and before routing to custodians or execution venues. The system evaluates each order against a set of rules and either permits the order to proceed, blocks it entirely (hard block), or flags it for review (soft block).

Rule engine design — sequential vs. parallel evaluation:

SKILL.md on GitHub

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