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JoelLewis
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pre-trade-compliance

Design automated pre-trade compliance systems validating financial orders against regulatory rules.

164|33|Updated Feb 15, 2026
Search Tags:#compliance#risk management#trading#order management#regulation#broker-dealer
One-click install
npx skills add https://github.com/JoelLewis/finance_skills --skill pre-trade-compliance
Or copy as Structured Prompt for Agent▼
Please help me install this Agent Skill.
Skill: pre-trade-compliance
Source: https://github.com/JoelLewis/finance_skills/tree/main/plugins/trading-operations/skills/pre-trade-compliance
Command: npx skills add https://github.com/JoelLewis/finance_skills --skill pre-trade-compliance

SYSTEM DOCUMENTATION & REQUIREMENTS

💡 This Skill includes references (resource) components.

What problem does it solve?

This Skill helps design and implement automated systems that validate financial orders against regulatory rules and firm policies before execution, preventing compliance violations and minimizing trading friction.

Core Features & Use Cases

  • Rule Engine Design: Configure hard and soft blocks for various compliance violations.
  • List Management: Maintain restricted, watch, and personal trading lists.
  • Limit Enforcement: Set concentration, position, and exposure limits.
  • Regulatory Adherence: Enforce rules like wash sales, free-riding, and pattern day trading.
  • Override Workflows: Design structured processes for overriding compliance blocks with proper authorization and documentation.
  • Use Case: A broker-dealer needs to ensure all outgoing trades comply with SEC regulations and client-specific investment mandates. This Skill guides the setup of a system that flags or blocks trades violating these rules, such as trading a restricted security or exceeding a client's sector allocation limit.

Quick Start

Use the pre-trade-compliance skill to design a rule engine that flags orders violating client-specific ESG screens.

Frequently Asked Questions about pre-trade-compliance

High-intent search queries and answers about installing and using this skill.

FAQPage Schema
How do I build an automated pre-trade compliance system for broker-dealer orders?▼

To build an automated pre-trade compliance system, configure a rule engine to validate financial orders against regulatory rules and firm policies before execution, preventing violations and minimizing trading friction.

What compliance rules can I enforce automatically before trade execution?▼

You can enforce compliance rules automatically for wash sales, free-riding, pattern day trading, concentration limits, position limits, exposure limits, and client-specific investment mandates like ESG screens.

How do I manage restricted and watch lists for pre-trade order validation?▼

Manage restricted and watch lists by maintaining them within the pre-trade compliance system, allowing the rule engine to flag or block orders involving restricted securities or flagged entities before execution.

How do I design override workflows for compliance blocks on financial orders?▼

Design override workflows for compliance blocks by creating structured processes that require proper authorization and documentation, ensuring that manual overrides of hard or soft blocks are fully tracked and compliant.

What is the difference between hard and soft blocks in pre-trade compliance rule engines?▼

In pre-trade compliance rule engines, hard blocks prevent an order from executing entirely, while soft blocks flag the order for review, allowing it to proceed only after passing additional compliance checks or overrides.

Can I use this to enforce sector allocation limits for client-specific mandates?▼

Yes, you can configure the pre-trade compliance rule engine to enforce client-specific investment mandates, such as sector allocation limits or ESG screens, by validating outgoing trades against these policies before execution.

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