Internal Knowledge Agent for a Financial Services Firm
RAG-based assistant over policy and compliance documents, deployed with full audit trail.
The Problem
Compliance analysts spent hours per week searching thousands of policy documents for answers, with no reliable way to confirm they were citing the current version — a real regulatory risk during audits.
The Architecture
Documents are indexed through Databricks Vector Search with Unity Catalog governance controlling access. A retrieval-augmented agent, built on Mosaic AI, answers questions with citations back to the specific document and clause, and every interaction is logged for audit purposes.
The Solution
Analysts get sourced, current answers in seconds instead of manually searching document repositories, and every answer is logged with full source citation for audit review — turning a compliance risk into a compliance asset.
Business Value
Time to answer compliance questions dropped 71%, with 100% of responses source-cited for audit review.
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