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LangGraph Compliance Review Workflow

A state-machine compliance document review pipeline built with LangGraph: document upload → risk element extraction → policy matching → human approval → report generation, compressing traditional 3–5 day reviews to minutes.

8 min read
Interactive Demo
4 tech tags

Overview

Built for financial institution compliance teams, this project converts manual compliance review into an AI-driven automated workflow. Uploaded documents (contracts, agreements, regulatory filings) are automatically parsed for risk elements (counterparty credentials, amount thresholds, transaction structures), matched against a regulatory policy library, and turned into risk assessment reports — with human-in-the-loop approval at critical decision points.

Key Features

01

LangGraph state graph: explicit workflow nodes (parse → extract → match → approve → generate) with conditional edges (high risk → human review, low risk → auto-pass)

02

Structured extraction: LLM extracts JSON-formatted risk elements (parties, amounts, durations, clauses) from unstructured documents

03

Policy matching engine: extracted elements compared against regulatory rules library, auto-flagging violations and risk levels

04

Human-in-the-loop node: LangGraph interrupt mechanism pauses for compliance officer annotation and judgment override

05

Audit trail: complete input/output, reasoning, and timestamps logged at every node to satisfy compliance audit requirements

Methodology

Workflow defined using LangGraph's StateGraph API. State fields include document content, extracted elements, matching report, and approval status. Conditional routing triggers human review when risk score > 0.7. Human-in-the-loop is implemented via NodeInterrupt, with the frontend polling a status endpoint. Structured outputs use Pydantic models to enforce LLM output schema consistency across nodes.

Tech Stack

WorkflowFLOW
AI AgentAGENT
AutomationAUTO
PythonPY

Project Info

Read time8 min
Live demoAvailable
FeaturedNo
Tags4
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Interactive Demo

LangGraph Compliance Workflow Demo

Select a compliance document, run the state machine pipeline, and interact with the Human-in-the-loop approval node and conditional routing.

LangGraph · State Machine Demo

Compliance Document Review Workflow

LangGraph state machine: Doc Parsing → Risk Extraction → Policy Matching → Human-in-the-loop Review → Report Generation.

Select Document for Review

11DocParse22RiskExtract33PolicyMatch44HumanReview55ReportGen
Risk ≥ 60 — Human review will be triggered