Compliance knowledge assistant for a fintech team
An internal assistant that answers policy and regulatory questions from the company's own documents, with citations and access control.
Problem
01 — OverviewOperations and support staff spent time searching long policy documents and circulars, and answers varied depending on who was asked.
Give staff fast, consistent answers grounded in approved documents, always showing the source, and never exposing documents a user isn't allowed to see.
Solution
02 — Build- 01
Documents are parsed, split by section and indexed with both embeddings and keyword search.
- 02
Retrieval filters by the user's permissions before anything reaches the model.
- 03
Every answer cites the document and section it came from; when nothing relevant is found, the assistant says so.
- 04
An admin view lets the compliance team add, replace and retire documents.
Architecture
03 — SystemAI workflow
04 — SequenceUser asks a question
Search only documents the user can access
Rank and select the most relevant passages
Generate an answer that cites each source
Log the question and sources for review
Technology & role
05 — DeliveryRetrieval design, evaluation set, backend, admin tools and deployment.
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