Banking Compliance Policy RAG with Audit Trail
RAG knowledge base for regulatory policies with full query audit trails for compliance teams.
Banking Compliance Policy RAG with Audit Trail
RAG knowledge base for regulatory policies with full query audit trails for compliance teams.
Founder note: this is written to be practical. We focus on what we learned in delivery, what changed for the team, and what results held up after rollout.
The Real Problem
1. Policy documents spread across 6 repositories
2. Compliance queries took 2-3 business days
3. No audit trail for who accessed what guidance
4. Onboarding new analysts was slow and inconsistent
What We Actually Changed
Deployed an on-premise RAG system over approved policy corpora with role-based access, citation links, and immutable audit logs for every query.
TOOLS AND METHODS USED
Delivery Journey
Corpus Preparation
Policy ingestion, access tiers
RAG Development
Retrieval, audit logging, UI
Compliance Review
Security review, production launch
What Improved
We answer policy questions in seconds with citations auditors accept. The audit trail alone justified the investment.
FOUNDER BRIEF
DELIVERY STACK
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