A financial services firm
Financial services · Mid-size, regulated
Turned a compliance knowledge bottleneck into instant, cited answers
The problem. Compliance and front-office staff lost hours a day hunting through policy libraries, regulatory correspondence, and product terms scattered across systems that didn't talk to each other. A wrong or out-of-date answer wasn't a bad experience, it was a supervisory risk.
The baseline. Staff spent a large share of each day locating current policy and regulatory text by hand, with no single source of truth and real risk of citing a superseded version.
What we built. A retrieval-augmented knowledge system grounded in the firm's own current, permissioned documents, answering with the exact clause it drew from. Access control was built into retrieval, and every answer is logged with the source version for audit.
- 72% reduction in time spent locating current policy and regulatory text
- 85 staff across compliance and front office using it daily
- 4 weeks from discovery to a working proof
Architecture. RAG over the firm's document store, with access-controlled retrieval, source-version citations, and full audit logging of every answer.
