Crypto Regulatory Compliance Audit Framework
Audit crypto operations against jurisdiction-specific regulatory requirements and generate compli...
What You Can Do
You can conduct comprehensive regulatory audits of your crypto operations by mapping current processes against jurisdiction-specific requirements (BSA/AML, securities rules, derivatives regulations). Claude helps you identify compliance gaps, prioritize remediation efforts, and generate documentation packages ready for regulatory examination—whether you're preparing for SEC, FINRA, FinCEN, or state regulator inquiries. The skill also supports cross-jurisdictional compliance assessment for multi-market operations and impact analysis when new regulatory guidance is issued.
Features
systematically align operations against frameworks from US, EU, APAC, and other markets
highlight missing controls, documentation, or procedures against regulatory requirements
generate organized documentation packages and narrative responses for regulatory inquiries
evaluate how compliance requirements differ across markets for multi-market strategies
rank compliance gaps by regulatory risk and implementation effort
build evidence of reasonable procedures and control effectiveness
assess implications when new rules or guidance is issued
create executive summaries of regulatory risk posture and remediation status
Example Output
Example 1: Compliance Gap Report
REGULATORY FRAMEWORK: SEC Rule 10b5-2 (Non-Public Information Trading)
REQUIREMENT: Establish policies restricting trading by officers/directors with material non-public information
CURRENT STATE: Trading policy exists but lacks blackout period definitions
GAP: Blackout periods not formally documented for each type of information
RISK LEVEL: High — potential enforcement exposure
REMEDIATION: Add specific blackout windows to trading policy; distribute amended policy to all identified insiders
ESTIMATED COMPLETION: 2 weeks
Example 2: Jurisdiction Comparison Matrix
| Requirement | US SEC | EU MiCA | Singapore MAS | Compliance Status |
|---|---|---|---|---|
| Customer identity verification | Required (KYC) | Required (EDDP) | Required | ✓ Implemented |
| Transaction reporting threshold | $10k+ | €10k+ | SGD 15k+ | ✓ Implemented |
| Custody standards | Defined rules | Asset servicing rules | MAS Notice | ✗ Gap in EU subsidiary |
Example 3: Remediation Plan
- Priority 1 (30 days): Update AML transaction monitoring thresholds for EU operations
- Priority 2 (60 days): Implement custody control documentation per MAS requirements
- Priority 3 (90 days): Enhance conflict-of-interest policies for derivatives trading desk
What's Included
- SKILL.md instruction file with framework and prompting patterns:
- Regulatory Requirements Checklist: jurisdiction-specific compliance requirement matrices (US, EU, APAC)
- Compliance Gap Assessment Template: structured format for mapping current state against regulatory requirements
- Pre-Examination Documentation Package: standardized outline for organizing evidence and control narratives
- Remediation Tracking Worksheet: prioritization and implementation status tracking for compliance gaps
Who It's For
- Crypto Compliance Officers — preparing for regulatory examinations and managing compliance programs across jurisdictions
- Chief Compliance Officers in cryptocurrency exchanges or custodians — managing enterprise-wide regulatory risk
- Crypto Startups and Web3 Teams — establishing compliance frameworks before rapid growth or multi-market expansion
- Internal Audit Teams — conducting independent compliance assessments and reporting to audit committees
- Regulatory Counsel and In-House Legal Teams — documenting remediation efforts and control implementation
Best For
- Pre-examination preparation for SEC, FINRA, FinCEN, and state regulatory inquiries
- Cross-jurisdictional compliance assessment for multi-market crypto operations
- Identifying and prioritizing compliance gaps after new regulatory guidance is issued
- Documenting AML/KYC program effectiveness and reasonable procedures
- Building remediation plans and tracking control implementation progress
- Board and audit committee reporting on regulatory risk posture
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