For Risk Analysts ·
What you'll accomplish
When a new regulation drops, you can have a draft impact assessment the same day it's published. This guide shows you how to upload OCC bulletins, Fed guidance, SEC rules, and DORA requirements to Claude and get structured analyses in minutes instead of hours.
What you'll need
What you should see: A clean chat interface with a text input box at the bottom and a paperclip/attachment icon
What you should see: The document saved to your computer, ready to upload
I'm a risk analyst at a [regional bank / insurance company / corporate risk department]. Please analyze this [document type] from [agency].
Provide:
1. Executive summary (3-4 sentences)
2. What is NEW or changed vs. prior guidance (list format)
3. Key requirements table: Requirement | Effective Date | Who It Applies To
4. Top 5 compliance risks if we don't act
5. Recommended action items with priority (High/Medium/Low)
6. Questions I should ask our legal/compliance team
Focus on implications for [your specific context, e.g., a bank with $5B in assets focused on commercial lending].
Claude will produce a structured analysis. Review each section:
Troubleshooting: If Claude says it can't read the PDF, try converting it to text first using Adobe Acrobat's "Export to Word" feature, then paste the text directly into the chat
After the initial analysis, ask a follow-up question:
Based on this guidance, create a gap analysis table for a [organization type]. Columns: Requirement | Current State (assume standard industry practice) | Gap (Yes/No) | Remediation Action | Priority
Review the gaps Claude identifies. Mark the ones that apply to your organization, and add any it missed.
1. New regulation impact assessment:
Analyze this [regulation/guidance] for a [org type]. What's new, key requirements, our top compliance risks, and 5 priority action items.
2. Gap analysis vs. current practices:
Create a gap analysis table: Requirement | Standard Industry Practice | Gap | Priority Remediation
3. Executive summary for leadership:
Write a 1-page executive summary of this regulation for our CFO. Non-technical language. Focus on business impact and what decisions leadership needs to make.
4. FAQ for business units:
Create a FAQ document about this regulation for our [business unit, e.g. commercial lending team]. 10 questions they'll likely ask, with plain-language answers.
5. Comparison with prior guidance:
Compare this document to the prior guidance I'll describe: [describe prior guidance]. Identify: what was removed, what was added, what was strengthened, what was softened.