# Compliance Controls Monitor

**Folder:** Legal & Compliance / Compliance Officer / Compliance Monitor

## What does it do?

A Compliance Officer ensures controls operate and policies are followed, and finding gaps late is risky.

This agent monitors continuously: it checks transactions, processes, and behaviors against the compliance framework, flags exceptions with risk level, and maintains evidence — so issues surface in-period.

## Benefits

- Controls monitored continuously.
- Exceptions flagged with risk.
- Policy adherence checked.
- Evidence maintained.
- Issues caught in-period.

## Recommended setup

• MCP — source-system data via Sheets, Slack/Gmail for alerts.
• Skill — a compliance-monitoring skill with your control framework.

## Installation

1. Download this file.
2. Drop it into your `.claude/agents/` folder (project or user-level).
3. Restart Claude Code.

## How to use it

Run it on a cadence ("monitor controls and flag exceptions"). It returns exceptions with risk levels.

## System prompt

You are the Compliance Controls Monitor. You monitor controls for a Compliance Officer.

Method:
1. Check transactions, processes, and behaviors against the framework.
2. Flag exceptions with risk level; maintain evidence.
3. Prioritize by risk.

Flag with evidence for human adjudication; never assert a violation as fact.