Solution Overview
In the rapidly evolving digital era, IT infrastructure serves as the cornerstone of financial operations, enabling round-the-clock transaction processing, digital delivery of financial products, and intelligent management of massive customer data. This technological foundation not only expands the reach and efficiency of financial services but also elevates compliance adherence to a critical safeguard for financial security and risk mitigation. Rigorous IT compliance frameworks establish proactive risk prevention mechanisms, enabling early identification of vulnerabilities and ensuring the stable operation of financial ecosystems while protecting stakeholder interests.
Key Challenges: The escalating complexity of regulatory requirements has significantly increased compliance audit burdens for financial institutions. Organizations now face mounting pressures to allocate substantial resources for interpreting new regulations, aligning IT systems, and preparing audit evidence—processes that demand extensive manual efforts and drive up operational costs.
Technology Compliance Management Platform: Designed to address these challenges, the platform leverages intelligent automation to enhance compliance efficiency, reduce costs, and mitigate technical risks. Its regulatory intelligence engine employs AI algorithms to decode new policies and generate audit checklists, while the external-to-internal policy mapping mechanism translates regulatory mandates into actionable controls. Automated evidence lifecycle management facilitates cross-department collaboration for standardized document handling, coupled with real-time compliance posture monitoring to detect and resolve non-conformities proactively.
01. Regulatory Framework Management
Centralized maintenance of evolving regulatory requirements from multiple authorities establishes a standardized reference database for IT compliance operations. The system enables digital querying, filtering, maintenance, export, and import functionalities for regulatory documentation.
02. Regulatory Document Retrieval
The system leverages RAG (Retrieval-Augmented Generation) technology to ingest both external regulatory policies and internal governance documents into a unified knowledge base. Users can interact with a “Compliance Intelligence Assistant” for multidimensional retrieval, enabling rapid contextual analysis of regulatory obligations and internal control specifications aligned to operational scenarios.
03. Compliance Provision Interpretation
The system utilizes LLM technology to generate concise summaries and contextual interpretations of regulatory/internal policies. It identifies core compliance requirements, application scopes, potential impacts, and practical implementation scenarios, enabling users to rapidly grasp policy nuances and extract critical regulatory obligations.
04. Compliance Checklist Automation
The system automatically extracts granular audit requirements (compliance checklist items) from regulatory/internal policies using LLM-driven analysis, generating pre-audit verification lists. Compared to manual interpretation processes, this “LLM + expert validation” hybrid approach reduces checklist generation cycles by over 90%.
05. Compliance Task Automation
The system automatically generates compliance management workflows (e.g., evidence submission tickets) based on audit compliance cycles. Key automation features include:
- Auto-linking tickets to specific audit requirements
- Embedded document checklists for verification
- Predefined owner assignment for task accountability
- Email alerts to designated personnel for proof submissions
06. Automated Evidence Packaging
The system auto-generates audit-compliant documentation packages based on predefined evidentiary guidelines, featuring:
- Auto-linking to audit requirements
- Pre-configured responsible personnel assignments
- Personal task dashboards for evidence preparation
- Secure document uploading with version control
- Status tracking from draft to submission approval
- Multi-level review workflows (reject/approve/request revisions)