Prompt Engineering

🔍 深入解释：

• 在对话型模型中（如 GPT-4-Turbo 或 ChatGPT），用户输入的每一句话就是一个 User Prompt。

• 它通常配合一个隐藏的 System Prompt 共同影响输出效果。

• 设计良好的 User Prompt 可以极大提高完成任务的精度、格式控制和生成逻辑。

✅ 示例：

Components of Role Prompting

financial_advisor_prompt = PromptTemplate(
2 input_variables=["client_situation"],
3 template="""You are a seasoned financial advisor with over
20 years of experience in personal finance, investment
strategies, and retirement planning.
,→
,→
4 You have a track record of helping clients from diverse
,→ backgrounds achieve their financial goals.
5 Your approach is characterized by:
6 1. Thorough analysis of each client's unique financial
,→ situation
7 2. Clear and jargon-free communication of complex financial
,→ concepts
8 3. Ethical considerations in all recommendations
9 4. A focus on long-term financial health and stability
10
11 Given the following client situation, provide brief
,→ financial advice:
{client_situation}"""
13 )

Fine-tuning Role Descriptions

storyteller_prompt = PromptTemplate(
2 input_variables=["style", "scenario"],
3 template="""You are a master storyteller known for your
,→ ability to adapt to various narrative styles.
4 Your current task is to write in the style of {style}.
5 Key characteristics of this style include:
6 1. {style_char1}
7 2. {style_char2}
8 3. {style_char3}
9
10 Write a short paragraph in this style about:
{scenario}"""
12 )

Exercises

1. As an expert in your field

2. As a teacher explaining to beginners

3. As a consultant advising a client

1. Add specific qualifications and experience

2. Include communication style preferences

3. Define approach characteristics

4. Test with different tasks

1. Write prompts for each role

2. Generate responses for the same topic

3. Analyze how the responses differ

4. Identify which elements of the role descriptions influenced these differences

Key Components

1. Breaking Down Complex Tasks: Techniques for analyzing and dividing complex problems into simpler subtasks.

2. Chaining Subtasks: Methods for sequentially connecting multiple subtasks to solve a larger problem.

3. Prompt Design for Subtasks: Crafting effective prompts for each decomposed subtask.

4. Result Integration: Combining the outputs from individual subtasks to form a comprehensive solution.

Method Details

1. Problem Analysis: We start by examining a complex task and identifying its component parts.

2. Subtask Definition: We define clear, manageable subtasks that collectively address the main problem.

3. Prompt Engineering: For each subtask, we create targeted prompts that guide the AI model.

4. Sequential Execution: We implement a chain of prompts, where the output of one subtask feeds into the next.

5. Result Synthesis: Finally, we combine the outputs from all subtasks to form a comprehensive solution.

目的：让模型知道你要它“做什么”，并“怎么输出”

🔍 步骤指导：

✅ 示例（信用风险摘要）：

text
复制编辑
Task: Extract all credit risks from the following paragraph.

Instructions:
- List 3–5 risks as bullet points
- Each bullet must start with a verb
- Output in Markdown format

⚠️ 常见误区：

• ❌ “帮我看看有没有风险” → 太模糊

• ✅ “列出所有信用风险，并引用原文” → 明确可执行

📌 目的：让模型更可控地产生内容风格、格式或行为

🔍 关键词建议（英文）：

✅ 示例（监管报告摘要）：

text
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Summarize this 10-K paragraph into 3 bullet points.
Respond in formal tone, using plain business English.
Include a direct quote from the source for each point.

⚠️ 常见误区：

• ❌ 不使用关键词会让模型自由发挥、风格不一致

• ✅ 使用关键词能提升输出“稳准美”

📌 目的：让模型知道“什么不应该包含”，提升准确率

🔍 使用方法：

✅ 示例（提取非ESG风险）：

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Extract all material risks from this text. Do NOT include ESG-related risks such as climate or social governance issues.
Only include financial and operational risks.

⚠️ 常见误区：

• ❌ 未设置边界 → 模型会“捡到篮子都是菜”

• ✅ 明确告诉它“不要做什么” → 减少误识别

negative_example_prompt = PromptTemplate(
    input_variables=["topic"],
    template="""Provide a brief explanation of {topic}. 
    Do NOT include any of the following in your explanation:
    - Technical jargon or complex terminology
    - Historical background or dates
    - Comparisons to other related topics
    Your explanation should be simple, direct, and focus only on the core concept."""
)

response = get_response(negative_example_prompt.format(topic="photosynthesis"))
print(response)

constraint_prompt = PromptTemplate(
    input_variables=["topic", "style", "excluded_words"],
    template="""Write a {style} description of {topic}.
    Constraints:
    1. Do not use any of these words: {excluded_words}
    2. Keep the description under 100 words
    3. Do not use analogies or metaphors
    4. Focus only on factual information"""
)

response = get_response(constraint_prompt.format(
    topic="artificial intelligence",
    style="technical",
    excluded_words="robot, human-like, science fiction"
))
print(response)

📌 目的：拆解复杂任务，避免模型一口吃完

🔍 推荐拆解模板：

✅ 示例（流动性风险多步分析）：

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Step 1: Extract sentences related to liquidity issues.
Step 2: Classify each sentence into: Cash Flow, Debt, or Contingency.
Step 3: For each, assign a severity score (1–5).
Step 4: Format as a JSON array.

⚠️ 常见误区：

• ❌ 一句让模型做完多个任务 → 输出混乱

• ✅ 分步执行 → 模型稳定输出

目的：搭建可复用、可插拔的提示系统，像乐高一样组合任务

🔍 构建方法：

✅ 金融模板组合示例：

text
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Role: You are a model risk reviewer.
Task: Identify potential model governance issues.
Constraints: Do not mention model performance or accuracy.
Format: Return in JSON with fields: ["issue", "section", "severity"]

⚠️ 常见误区：

• ❌ 每次Prompt从头写 → 不统一、不高效

• ✅ 构建模块库 → 复用性强、方便RAG/自动化系统调用

1. Different prompt formats (Q&A, dialogue, instructions)

2. Structural elements (headings, bullet points, numbered lists)

3. Comparison of prompt effectiveness

4. Best practices for prompt formatting

qa_prompt = """Q: What is photosynthesis?
A:"""

get_response(qa_prompt)

dialogue_prompt = """Student: Can you explain photosynthesis to me?
Teacher: Certainly! Photosynthesis is...
Student: What does a plant need for photosynthesis?
Teacher:"""

get_response(dialogue_prompt)

instruction_prompt = """Provide a brief explanation of photosynthesis, including its main components and importance."""

get_response(instruction_prompt)

headings_prompt = """Explain photosynthesis using the following structure:

# Definition

# Process

# Importance
"""

get_response(headings_prompt)

bullet_points_prompt = """List the key components needed for photosynthesis:

• 
• 
• 
"""

get_response(bullet_points_prompt)

numbered_list_prompt = """Describe the steps of photosynthesis in order:

1.
2.
3.
4.
"""

get_response(numbered_list_prompt)

comparison_prompts = [
    "Explain the importance of photosynthesis for life on Earth.",
    """Explain the importance of photosynthesis for life on Earth. Structure your answer as follows:
    1. Oxygen production
    2. Food chain support
    3. Carbon dioxide absorption""",
    """Q: Why is photosynthesis important for life on Earth?
    A: Photosynthesis is crucial for life on Earth because:
    1.
    2.
    3."""
]

for i, prompt in enumerate(comparison_prompts, 1):
    print(f"Prompt {i}:")
    get_response(prompt)

Prompt 1:
Photosynthesis is a crucial biological process that significantly impacts life on Earth for several reasons:

1. **Oxygen Production**: Photosynthesis is the primary source of atmospheric oxygen. During the process, plants, algae, and some bacteria convert carbon dioxide and water into glucose and oxygen using sunlight. This oxygen is essential for the survival of most living organisms that rely on aerobic respiration to generate energy.

2. **Foundation of Food Chains**: Photosynthesis forms the base of the food chain. Producers, such as plants and phytoplankton, harness solar energy to create organic matter. Herbivores consume these producers, and in turn, carnivores feed on herbivores. This flow of energy and nutrients is vital for the survival of all ecosystems.

3. **Carbon Dioxide Regulation**: Photosynthesis plays a critical role in regulating atmospheric carbon dioxide levels. By absorbing CO2, photosynthetic organisms help mitigate the greenhouse effect and climate change. This regulation is essential for maintaining the planet's climate and supporting diverse life forms.

4. **Energy Source**: Photosynthesis is the primary means of converting solar energy into chemical energy stored in glucose. This energy is then available to be consumed by other organisms, making it a fundamental energy source for almost all life on Earth.

5. **Biodiversity Support**: By producing organic matter and oxygen, photosynthesis supports a wide variety of ecosystems and promotes biodiversity. Healthy ecosystems contribute to the stability and resilience of the environment, providing habitats for countless species.

6. **Soil Formation and Health**: Photosynthetic organisms contribute to soil health by creating organic matter through decaying plant material. This organic matter enriches the soil, improving its structure, fertility, and ability to retain water, which is vital for agriculture and natural vegetation.

In summary, photosynthesis is essential for life on Earth as it provides oxygen, forms the basis of food chains, helps regulate carbon dioxide levels, serves as a primary energy source, supports biodiversity, and contributes to soil health. Its significance extends beyond individual organisms to the overall health of the planet's ecosystems.
--------------------------------------------------

--------------------------------------------------

Prompt 2:
Photosynthesis is a vital process that supports life on Earth in several key ways. Here’s a structured explanation of its importance:

### 1. Oxygen Production
Photosynthesis is primarily responsible for the production of oxygen in the atmosphere. During this process, plants, algae, and certain bacteria convert carbon dioxide and water into glucose and oxygen, using sunlight as an energy source. The overall equation for photosynthesis can be summarized as:

\[ \text{6 CO}_2 + \text{6 H}_2\text{O} + \text{light energy} \rightarrow \text{C}_6\text{H}_{12}\text{O}_6 + \text{6 O}_2 \]

The oxygen released is crucial for the survival of aerobic organisms, including humans. It is utilized in cellular respiration, a process that generates energy for living beings. Without photosynthesis, the oxygen levels in the atmosphere would diminish, leading to a collapse of most life forms that depend on it for respiration.

### 2. Food Chain Support
Photosynthesis forms the foundation of the food chain. The glucose produced during photosynthesis serves as an energy source for autotrophs (organisms that produce their own food, such as plants). These autotrophs are then consumed by herbivores (primary consumers), which are in turn eaten by carnivores (secondary and tertiary consumers). This interconnected network of energy transfer is vital for maintaining ecological balance. As a result, the health and productivity of ecosystems are largely dependent on the efficiency of photosynthesis, making it essential for sustaining life on Earth.

### 3. Carbon Dioxide Absorption
Photosynthesis plays a crucial role in regulating atmospheric carbon dioxide levels. Plants absorb carbon dioxide from the atmosphere during the process of photosynthesis, helping to mitigate the greenhouse effect and combat climate change. By removing CO2, which is a significant greenhouse gas, photosynthesis contributes to climate regulation and maintains the balance of carbon in the ecosystem. This absorption is particularly important in the context of rising CO2 levels due to human activities, as it helps to offset some of the impacts of global warming.

In summary, photosynthesis is fundamental to life on Earth through its production of oxygen, support of food chains, and absorption of carbon dioxide. It not only sustains individual organisms but also plays a critical role in maintaining the planet's ecological and atmospheric balance.

Prompt 3:
A: Photosynthesis is crucial for life on Earth because:

1. **Oxygen Production**: Photosynthesis generates oxygen as a byproduct, which is essential for the survival of most living organisms. It provides the oxygen that we breathe, supporting aerobic respiration.

2. **Food Source**: It serves as the primary source of energy for nearly all ecosystems. Plants, algae, and some bacteria convert sunlight into chemical energy in the form of glucose, which is then used as food by herbivores and, subsequently, by carnivores.

3. **Carbon Dioxide Absorption**: Photosynthesis helps regulate atmospheric carbon dioxide levels. By absorbing CO2 from the atmosphere, it plays a key role in mitigating climate change and maintaining the planet's carbon balanc

def multi_task_few_shot(input_text, task):
few_shot_prompt = PromptTemplate(
input_variables=["input_text", "task"],
template="""
Perform the specified task on the given text.

Examples:
Text: I love this product! It's amazing.
Task: sentiment
Result: Positive

Text: Bonjour, comment allez-vous?
Task: language
Result: French

Now, perform the following task:
Text: {input_text}
Task: {task}
 Result:
 """
)

Practical Exercises

1. Classifying emails as spam or not spam using three examples

2. Identifying the tone of business communications (formal, casual, urgent)

3. Testing your system with at least five new examples
   

1. Detect the language of a text

2. Determine if it’s a question or statement

3. Assess its formality level Use the multi-task template provided above and create appropriate
   examples for each task.

1. Converting dates between different formats

2. Transforming numbers into words

3. Extracting key information from product descriptions Test your system with various inputs
   and refine your examples based on the results.

1. Create a test set of at least 10 cases for your chosen task

2. Implement the evaluation function provided above

3. Run your tests and calculate accuracy

4. Analyze which types of inputs tend to cause errors

定义｜What is CoT?

为什么重要？

Prompt 格式结构

Let’s think step by step:
1. Identify key financial metrics
2. Compare against thresholds
3. Evaluate if risk criteria are met
4. Output the conclusion

金融风控应用示例

🎯 场景 1：信用风险判断

Let’s think step by step.
Based on the following customer profile, determine if they are a high credit risk:
- DTI ratio = 55%
- Credit history = 3 missed payments
- FICO score = 580

Step 1: A DTI > 50% indicates potential repayment issues.
Step 2: 3 missed payments show prior delinquency.
Step 3: FICO 580 is below the subprime threshold.
Conclusion: This is a high credit risk profile.

场景 2：是否存在流动性压力

Let’s think step by step.
Does this firm face liquidity pressure based on the Q4 data?

Step 1: Operating cash flow is negative for 2 consecutive quarters.
Step 2: Short-term debt increased by $800M.
Step 3: Cash reserves fell by 25%.
Conclusion: Yes, the firm faces liquidity pressure.

与 Zero-shot Prompting 对比

技术提示

• ✅ 搭配 temperature > 0.7 可用于Self-Consistency

• ✅ 可作为模型解释性模块集成到 RAG 或审计系统中

• ✅ 可嵌入 Tree-of-Thought 或 Self-Reflection 中进一步增强复杂推理能力

推荐模版语句

• “Let’s think through this step by step.”

• “First, identify… Then evaluate… Finally…”

• “Analyze each factor individually and summarize.”

• “Consider the following: 1) Financial indicators, 2) Historical trends, 3) Thresholds…”

1. Calculate the total cost of a shopping cart with a 15% discount

2. Find the area of a triangular garden

3. Determine how many boxes needed to pack 247 items if each box holds 35 items

1. Write a CoT prompt that breaks down the solution

2. Implement it using the provided code template

3. Compare the results with a standard prompt

1. Write the prompt

2. Test it

3. Analyze how CoT improves the solution process

1. Write both a standard prompt and a CoT prompt

2. Compare the responses

3. Document which aspects of the problem benefited most from the CoT approach

原理：

为什么用它：

• 财报分析中先总结结论 → 再画图

• 多步骤的合规审计工作流

设计方法：

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You are a risk analyst.
Think aloud first. Then decide whether to [LOOK UP], [SEARCH], or [ANSWER].
Format:
Thought: ...
Action: ...
Observation: ...

金融实战场景示例：

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“What is the company's short-term debt exposure?”
→ 模型输出：
Thought: I should first identify the short-term liabilities in the 10-K.
Action: SEARCH[“short-term debt” section in 10-K]
Observation: Paragraph mentions $1.2B maturing in 12 months
Final Answer: The company has a short-term debt exposure of $1.2B.

原理：

为什么用它：

• 问题中有隐含变量

• 多轮问答系统

设计方法：

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Question: What is the company's liquidity risk this quarter?

→ Sub-question: Does the firm report cash shortfall or large short-term liabilities?
→ Search: “cash flow”, “debt maturity” sections
→ Answer: Summarize based on retrieved content

金融实战场景示例：

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"What is the company’s short-term debt exposure?"

→ 模型自问：
Sub-question: Where is short-term debt mentioned?
→ 检索“debt table” → 回答原始问题

原理：

为什么用它：

• 信用评级评估

• 模型策略解释

• 风险缓解建议生成

设计方法：

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Step 1: Generate 3 different reasoning paths
Step 2: Evaluate outcomes
Step 3: Select the most coherent answer

金融实战场景示例：

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Prompt:
“Should this loan be approved?”

→ 思路1：Based on debt-to-income, likely default
→ 思路2：Low loan-to-value makes it safer
→ 思路3：Credit history stable, but income volatile
→ 投票：2/3说 approve → 输出 YES with explanation

原理：

为什么用它：

• 风险自动摘要系统

• RegTech报告生成器

• 风控AI助手

设计方法：

text
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You are a [role].
Task: [目标任务]
Format: [返回格式]
Constraints: [限制条件]

金融实战场景示例：

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You are an AI auditor.
Task: Validate model risk.
Format: JSON
Constraints: No external assumptions.

原理：

为什么用它：

• 模型输出校正

• 报告撰写

• 审计场景（去掉模糊、不准确语言）

设计方法：

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Step 1: Generate initial answer
Step 2: Review for ambiguity, errors, or missing logic
Step 3: Refine answer to remove vague language

金融实战场景示例：

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Prompt:
"Now review the previous answer and refine to remove vague statements.
Make it suitable for a regulatory review with clear justification.”