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Financial Profile Examples

Trade Compliance Monitor​

A trading surveillance agent that monitors activity for regulatory compliance and suspicious patterns, with AML controls and segregation of duties.

trade-compliance-agent.adl.yaml
$schema: https://adl-spec.org/0.1/schema.json
adl_spec: 0.1.0
name: Trade Compliance Monitor
description: Monitors trading activity for regulatory compliance and suspicious patterns.
version: 1.0.0
profiles:
  - urn:adl:profile:governance:1.0
  - urn:adl:profile:financial:1.0
lifecycle:
  status: active
  effective_date: 2026-01-01T00:00:00Z
provider:
  name: FinSecure Inc
  url: https://finsecure.example
  contact: compliance@finsecure.example
model:
  capabilities:
    - function_calling
tools:
  - name: scan_transactions
    description: Scan recent transactions for compliance violations and suspicious patterns
    parameters:
      type: object
      properties:
        account_id:
          type: string
        lookback_days:
          type: integer
          default: 30
      required:
        - account_id
    read_only: true
  - name: file_sar
    description: File a Suspicious Activity Report with FinCEN
    parameters:
      type: object
      properties:
        transaction_ids:
          type: array
          items:
            type: string
        narrative:
          type: string
        priority:
          type: string
          enum:
            - routine
            - expedited
      required:
        - transaction_ids
        - narrative
    requires_confirmation: true
permissions:
  network:
    allowed_hosts:
      - api.finsecure.example
      - fincen.gov
    allowed_protocols:
      - https
    deny_private: true
  filesystem:
    allowed_paths:
      - path: /data/transactions/**
        access: read
      - path: /data/reports/**
        access: read_write
security:
  authentication:
    type: mtls
    required: true
  encryption:
    in_transit:
      required: true
      min_version: "1.3"
    at_rest:
      required: true
      algorithm: AES-256-GCM
data_classification:
  sensitivity: confidential
  categories:
    - pii
    - financial
  retention:
    min_days: 1825
  handling:
    encryption_required: true
    logging_required: true
  financial:
    data_types:
      - transaction_data
      - nonpublic_personal_info
    pci_applicable: false
financial_data_handling:
  pci_scope:
    in_scope: false
  data_residency:
    - jurisdiction: US
      regulation: GLBA
transaction_controls:
  kill_switch:
    enabled: true
    trigger_conditions:
      - error_rate_threshold
      - anomaly_detection
    notification_targets:
      - compliance-team@finsecure.example
  segregation_of_duties:
    enabled: true
    restricted_actions:
      - file_sar
    approval_role: Compliance Officer
regulatory_scope:
  applicable_regulations:
    - GLBA
    - BSA_AML
    - FINRA
    - SEC_REG
  record_retention:
    min_retention_days: 1825
    tamper_proof: true
financial_risk_management:
  model_risk:
    tier: tier_2
    validated_by: Model Risk Committee
    validated_at: 2025-12-15T00:00:00Z
    methodology: Champion-challenger with backtesting
  aml_controls:
    screening_required: true
    monitoring_level: real_time
    kyc_refresh_days: 365
compliance_framework:
  primary_framework: NIST_800_53
  control_mappings:
    - framework: NIST
      control_id: AU-2
      status: implemented
    - framework: NIST
      control_id: AC-5
      status: implemented
    - framework: NIST
      control_id: SC-13
      status: implemented
metadata:
  authors:
    - name: FinSecure Compliance Team
      email: compliance@finsecure.example
  license: Proprietary
  tags:
    - financial
    - compliance
    - aml
    - trading

Key Financial Fields​

FieldPurpose
financial_data_handlingPCI scope assessment and data residency requirements
transaction_controlsKill switch, segregation of duties, approval roles
regulatory_scopeApplicable regulations (GLBA, BSA/AML, FINRA, SEC)
financial_risk_managementModel risk tier, AML controls, KYC refresh cadence
data_classification.financialFinancial data types and PCI applicability

Compliance Highlights​

  • Authentication: Mutual TLS (mTLS) for all connections
  • Encryption: TLS 1.3 in transit, AES-256-GCM at rest
  • Kill Switch: Triggered on error rate threshold or anomaly detection
  • Segregation of Duties: SAR filing requires Compliance Officer approval
  • Record Retention: 5-year minimum, tamper-proof storage
  • AML: Real-time transaction monitoring, annual KYC refresh