Financial services — regulatory compliance (RegTech)
Regulatory Intelligence Engine
The problem
Compliance teams can’t read every regulator notice, circular, and guideline in time — and generic AI invents clause numbers and obligations that no auditor will accept. Worse, when a rule quietly changes, no one can see what moved or whether the firm’s own internal policy still covers it until an inspection finds the gap.
What we built
A RegTech platform that crawls financial-regulator publications, extracts binding obligations, and answers compliance questions through a hallucination-guarded RAG interface — then continuously checks those obligations against the firm’s own policies and alerts on every gap.
- Source-traced RAG: every answer cites its regulatory source chunk; ungrounded responses are rejected before they reach the user.
- Regulatory-change alerting: a scheduled job re-checks every published obligation and raises an alert (webhook or email) the moment a new or amended rule is no longer covered — gaps tracked through to resolution.
- Rule-version redlining: every version of a regulator document is retained, so the current source-of-truth can be shown side-by-side with any prior version as a word-level diff of exactly what changed.
- Company-policy gap analysis: each regulatory obligation is semantically scored against the firm’s own internal policies, and any obligation with no adequate policy coverage is flagged as a tracked gap.
- Obligation extraction with binding-weight classification across seven regulatory document types.
- Append-only, banking-grade audit logging with OIDC / SAML-verified identity; on-premise / air-gapped deployment with local LLM serving (vLLM) supported.
- FastAPI
- Next.js 16
- PostgreSQL + pgvector
- Celery / Redis
- AWS Bedrock / Claude
- vLLM