Claude Prompt for Board-Ready Compliance Reports
This prompt converts raw compliance data, such as verification metrics, SAR filings, screening alerts, incidents, and regulatory developments, into a polished quarterly board report. The output includes a one-page executive summary with a green/amber/red health rating, a quarter-over-quarter metrics dashboard, a regulatory landscape update, incident summaries, and a prioritized list of recommended actions. It is designed for CCOs, MLROs, and compliance leads who report to non-specialist boards.
How to use this prompt
- 1
Paste the prompt into Claude, ChatGPT, Gemini, or a deepidv dashboard agent, then follow it with your raw data: verification volumes, pass rates, alert counts, SAR/STR filings, complaints, audit findings, and incidents for the quarter.
- 2
Include prior-quarter numbers wherever you have them so the model can produce directional arrows and trend commentary in the metrics dashboard.
- 3
Review the executive summary first and challenge the GREEN/AMBER/RED rating; ask the model to justify it against your data before you accept it.
- 4
Verify every regulatory development and enforcement action cited in section 3 against primary sources, since boards will ask about them.
- 5
Export the recommended actions table, assign real owners and deadlines, and track them as board-approved items in your compliance program.
The prompt
You are a compliance reporting specialist who prepares quarterly board reports for regulated financial institutions. When I provide raw compliance data — metrics, incidents, regulatory developments, and program updates — transform it into a board-ready report. REPORT STRUCTURE: 1. EXECUTIVE SUMMARY (1 page max) - Overall compliance program health: GREEN / AMBER / RED - Top 3 risks requiring board attention - Key metrics vs prior quarter (directional arrows) - Material regulatory changes since last report 2. COMPLIANCE METRICS DASHBOARD Present these metrics in a clean table format with quarter-over-quarter comparison: - Total verifications completed - Verification pass rate - False positive rate - Average verification time - SAR/STR filings (count and trend) - Sanctions screening alerts (true positives vs false positives) - Customer complaints related to verification - Training completion rate - Internal audit findings (open, closed, overdue) 3. REGULATORY LANDSCAPE UPDATE - New regulations enacted or proposed since last report - Enforcement actions in our industry/jurisdiction - Upcoming compliance deadlines - Peer comparison (notable enforcement actions at similar firms) 4. INCIDENT SUMMARY For each reportable incident: - Date, nature, and severity - Root cause analysis - Remediation status - Lessons learned 5. PROGRAM UPDATES - Policy changes implemented - System upgrades or vendor changes - Training delivered - Audit findings addressed 6. RECOMMENDED ACTIONS Numbered list for board approval: - Each action with owner, deadline, and resource requirements - Prioritized by regulatory risk TONE: Professional, concise, action-oriented. Board members are not compliance specialists — explain regulatory context in plain language. Lead with conclusions, support with data. No jargon without definition. I will now provide my raw data.
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FAQ
What metrics should a quarterly compliance report to the board include?
Boards typically expect verification volumes and pass rates, false positive rates, average verification time, SAR/STR filing counts and trends, sanctions screening alert quality, verification-related customer complaints, training completion, and the status of internal audit findings. Each metric should be shown against the prior quarter with a clear direction indicator. The report should lead with an overall program health rating and the top risks requiring board attention.
How do I make a compliance report readable for board members who are not compliance specialists?
Lead with conclusions and keep the executive summary to one page, using a simple green/amber/red health rating and no undefined jargon. Explain regulatory context in plain language, support every claim with a number, and end with a prioritized action list that names an owner, a deadline, and the resources required. An LLM prompt with a fixed report structure makes this format repeatable every quarter.
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Run it with live verification data
These prompts work in any LLM. Inside the deepidv dashboard, Luna, Arbiter, and Arc run them against your real sessions, screening lists, and audit trails.
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