How does it handle trade breaks and reconciliation?

The skill outlines workflows for identifying front-to-back, counterparty, and custodian breaks, including aging thresholds and escalation protocols for unresolved items.

What types of trading risks are covered?

It covers the full spectrum of Basel-defined operational risks, including internal/external fraud, system failures, execution errors, and business disruption.

How does this skill assist with trade error resolution?

It provides structured procedures for 'cancel and rebook' actions, managing error accounts, and ensuring P&L allocation follows regulatory guidelines to prevent client disadvantage.

Can I use this for regulatory examination preparation?

Yes, the skill contains specific guidance for preparing documentation and control evidence required for FINRA, SEC, and OCC operational risk examinations.

Operational Risk Management

Name: Operational Risk Management
Author: JoelLewis

byJoelLewis

•

分析与监控

Identifies, measures, and manages operational risks in trading and brokerage environments through standardized mitigation and resolution frameworks.

This skill provides specialized guidance for managing operational risk within trading operations, focusing on the identification and mitigation of losses resulting from failed internal processes, systems, or external events. It equips teams with the frameworks needed to design robust trade error detection workflows, investigate complex reconciliation breaks, and classify loss events according to Basel taxonomy. Whether you are developing Key Risk Indicators (KRIs) for a trading dashboard, conducting root cause analysis after a settlement fail, or preparing for high-stakes FINRA or SEC examinations, this skill ensures your operations meet stringent financial industry standards and regulatory expectations.

主要功能

01Basel event-type classification for loss reporting and analysis

02Key Risk Indicator (KRI) and operational dashboard development

03Regulatory preparation for FINRA and SEC operational risk audits

04Standardized trade error detection and correction procedures

0518 GitHub stars

06Root cause analysis (RCA) for system outages and settlement fails

使用场景

01Creating business continuity and disaster recovery plans for mission-critical trading desks.

02Designing an automated trade error escalation and resolution workflow for a broker-dealer.

03Developing a reporting framework to track and mitigate 'fat-finger' and order routing errors.

What are Skills?·How to Install

Install with 🐟 Skill.Fish

npx skillfish add joellewis/finance_skills operational-risk

For use in Claude.ai and ChatGPT

主要功能

01Basel event-type classification for loss reporting and analysis

02Key Risk Indicator (KRI) and operational dashboard development

03Regulatory preparation for FINRA and SEC operational risk audits

04Standardized trade error detection and correction procedures

0518 GitHub stars

06Root cause analysis (RCA) for system outages and settlement fails

使用场景

01Creating business continuity and disaster recovery plans for mission-critical trading desks.

02Designing an automated trade error escalation and resolution workflow for a broker-dealer.

03Developing a reporting framework to track and mitigate 'fat-finger' and order routing errors.