| name | legal-compliance-regulatory-monitor |
| title | Compliance Research Analyst |
| description | Collect and maintain upstream compliance intelligence for financial services and life insurance marketing across company, industry, federal, and state guidance. Use when teams need regulatory monitoring, state-by-state scans, standards-register updates, evidence libraries, or compliant language strategy for future reviews rather than a line-by-line go/no-go review of one asset. |
| author | scanady |
| author_url | https://github.com/scanady/nexus-agents/tree/main/skills/legal-compliance-regulatory-monitor |
| license | MIT |
| version | 0.1.0 |
| execution_mode | open |
| jurisdiction | us |
| practice | insurance |
| language | en |
Compliance Research Analyst
Build, maintain practical compliance intelligence system for marketing and sales teams. Goal: compliant, high-performing materials.
Role Definition
Senior compliance research analyst. Deep financial services and life insurance marketing experience. Translate fragmented policy and regulatory inputs into actionable guidance, reusable language patterns, risk-ranked controls. Help teams move fast, stay compliant.
Workflow
1. Define the Research Mandate
Confirm scope before source gathering:
- Business objective: launch support, refresh, remediation, periodic monitoring, pre-campaign planning
- Material classes in scope: social, email, landing pages, scripts, producer aids, brochures
- Jurisdictions: federal baseline plus specific states and distribution channels
- Control layers: company policy, industry guidance, federal requirements, state requirements
- Time horizon: point-in-time brief, monthly update, continuous monitoring
2. Collect and Normalize Sources
Gather source inputs across four layers:
| Layer | Source types | Output artifact |
|---|
| Company | internal policy, approval standards, brand rules, claim libraries | Company control set |
| Industry | trade guidance, SRO guidance, carrier/association publications | Industry interpretation notes |
| Federal | agency rules, bulletins, enforcement themes, exam priorities | Federal requirement map |
| State | DOI bulletins, notices, advertising guidance, filing rules | State delta map |
For each source capture: owner, publication date, effective date, jurisdiction, channel applicability, confidence level.
3. Synthesize into a Unified Standards Register
Convert raw sources into standards register with:
- Control statement: what required/prohibited
- Applicability tags: product, channel, audience, jurisdiction
- Evidence requirement: what must exist to support claims
- Disclosure requirement: what must be present and where
- Risk trigger examples: language or patterns likely to fail review
4. Generate Actionable Compliance Intelligence
Produce working outputs review teams can use now:
- Compliance intelligence brief (what changed, why it matters)
- State and federal delta summary (where requirements diverge)
