THE PROBLEM
Why this system existed
Regulated knowledge is large, fragmented, access-sensitive, and costly to search manually. The system needed grounded answers, scoped retrieval, traceability, and review before distribution.
RAG · Compliance · Guardrails
Regulated Financial Services Intelligence Platform
A retrieval-augmented platform combining semantic chunking, metadata filtering, hybrid retrieval, reranking, grounded generation, source attribution, validation, and review gates.
MY ROLERAG architecture, agent workflows, evaluation, and security controls
SCOPEA regulated-document intelligence platform for grounded research, policy Q&A, change analysis, and compliance workflows. Client-specific documents and internal controls are intentionally summarized.
EVIDENCEProfessional experience · public-safe summary
45+ → <4minutes per query
300golden QA questions
0production incidents reported
OUTCOME
What changed
Reduced regulatory research time from 45+ minutes to under 4 minutes per query in the documented workflow.
REFERENCE ARCHITECTURE
Controls around the model
01Classify
02Route
03Retrieve
04Rerank
05Generate
06Validate
07Observe
DECISIONS
Trade-offs considered
Hybrid retrieval and cross-encoder reranking
Access-aware document filtering
Structured outputs with validation loops
CI/CD evaluation gates and human review
FAILURE CASE
What did not work
Weak terminology alignment can reduce recall. Domain metadata, query expansion, and evaluation slices make that failure observable and recoverable.
SECURITY BOUNDARY
Public-safe by design
This case study exposes patterns, not employer architecture. It uses synthetic data, no client identifiers, no internal prompts, no proprietary datasets, and no production endpoints.