RIA Compliance Prompt Pack: Earnings Analysis & Portfolio Research
Compliance-safe AI prompts for junior analysts at investment advisories analyzing earnings, portfolios, and client memos. This prompt pack is built for junior financial analysts and portfolio managers at SEC/FINRA-regulated investment advisories (RIAs) who need AI-assisted analysis workflows that pass compliance review. The problem: generic financial AI prompts lack SEC/FINRA disclaimer language, misinterpret regulatory guidance, and produce output that advisory firms can't safely share with clients or document. This pack includes 25 compliance-vetted prompts across five real analyst workflows—from earnings deep-dives to client-facing memos—with built-in risk disclaimers, ratio frameworks, and multi-step reasoning patterns that produce defensible, audit-ready analysis. Unlike commodity prompt libraries (ChatGPT Prompts for Financial Analysts, ASPECCT) that treat all finance equally, this pack is purpose-built for the RIA context: prompts use FINRA Rule 2210 compliant language, embed SEC disclosure standards, and reference investment adviser fiduciary duties. Variants serve distinct analyst roles: equity researchers analyzing reported earnings, portfolio risk officers rebalancing client positions, sector specialists comparing peer fundamentals, senior analysts triaging news for regulatory red flags, and client-facing reporting teams drafting investment memos. Each variant maintains the same five-section outline but swaps terminology, examples, and disclaimers specific to that workflow. The result: faster analysis, consistent compliance documentation, and client-ready deliverables that advisory firms can confidently use in their investment process. Who this is for Junior analysts and portfolio managers at registered investment advisories (RIAs) who need AI-assisted workflows that pass compliance review without rewriting. Who this is NOT for Not for retail investors, day traders, or firms without compliance functions. Not for macroeconomic forecasting, options pricing, or derivative strategies. Not a substitute for human judgment or compliance counsel. How to use Each `.json` file contains all prompts for one variant, organized by section. Open the variant matching your context and paste prompts directly into ChatGPT or Claude. 125 copy-paste prompts across 5 variants.
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