Financial & Compliance Guide

Purpose: Validate identity documents for authenticity and extract customer data for KYC compliance

Inputs:

• Identity document image (passport, licence, ID card)
• Document type specification
• Customer-provided information
• Verification requirements checklist

Task Instructions:

Verify the authenticity of {document_image} as a {document_type}. Extract all 
personal data including name, date of birth, document number, and expiry date. 
Compare extracted data against {customer_information} and check for tampering 
indicators. Calculate confidence scores for authenticity and data accuracy based 
on {verification_requirements}.

Outputs:

• Document validity assessment (Pass/Fail/Review)
• Extracted personal data (structured)
• Match confidence scores by field
• Tampering or authenticity risk flags
• Overall compliance status

Integration: Customer onboarding submission, update KYC record, route to manual review if flagged

Purpose: Assess customer risk profiles based on multiple factors for onboarding and ongoing monitoring

Inputs:

• Customer profile data
• Transaction history (if existing customer)
• Geographic and jurisdiction information
• Business type and industry
• Source of funds declaration

Task Instructions:

Assess the risk profile of customer based on {customer_profile}. Evaluate 
{transaction_history}, geographic risk from {jurisdiction_info}, business type 
from {industry_data}, and {source_of_funds}. Apply risk factors for PEP status, 
high-risk jurisdictions, business complexity, and transaction patterns. Assign 
risk rating and recommend monitoring tier.

Outputs:

• Risk rating (High/Medium/Low)
• Risk factor breakdown with scores
• PEP and sanctions screening status
• Recommended monitoring tier
• Enhanced due diligence triggers

Integration: New customer onboarding, periodic review, set monitoring tier, trigger EDD if high-risk

Purpose: Check customers and transactions against global watchlists and PEP databases

Inputs:

• Customer name and aliases
• Date of birth and nationality
• Address and jurisdiction
• Business or entity name (if applicable)

Task Instructions:

Screen {customer_name} (DOB: {date_of_birth}, nationality: {nationality}) 
against global sanctions lists, PEP databases, and adverse media. Include 
{entity_name} if applicable. Check all name variations and aliases from 
{customer_aliases}. Flag any matches with confidence scores and provide match 
details. Consider {jurisdiction} for relevant list prioritisation.

Outputs:

• Screening result (Clear/Potential Match/Match)
• Match details with confidence scores
• Watchlist sources (OFAC, UN, EU, etc.)
• PEP status and risk indicators
• Adverse media findings

Integration: New customer onboarding, transaction processing, block transaction if match, escalate to compliance