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ComplianceIQ: Compliance Research Workbench

A knowledge-driven compliance research workbench that organizes regulatory provisions, enforcement cases, and AI-powered structured explanations into a single searchable, citable, and cross-referenced research workflow for banking compliance professionals.

8 min read
Interactive Demo
4 tech tags

Overview

ComplianceIQ is a B2B-oriented compliance research workbench designed for compliance officers, AML analysts, internal auditors, and risk managers. Unlike AML Sentinel which focuses on transaction monitoring and investigation, ComplianceIQ focuses on regulatory research and citation: helping users quickly find applicable rules, understand enforcement consequences through case comparisons, and generate citable compliance opinions. The system covers 55 regulatory chunks from 4 authoritative sources, 25 enforcement cases with control failure analysis, and an AI copilot that produces structured 5-section answers with evidence layering.

Key Features

01

Q&A Copilot

Single-turn research Q&A with structured 5-section output: conclusion, regulatory basis (legal vs. reference materials separated), related cases, operational advice, and fixed disclaimer. Powered by Anthropic claude-sonnet-4-6 streaming with deterministic fallback.

02

Regulation Library

BM25 keyword search across 55 regulatory chunks from 4 sources (AML Law 2024, PBOC Reporting Rules, KPMG Analysis, FATF China 2019), with source filtering, keyword highlighting, and one-click 'Ask AI about this' cross-navigation.

03

Enforcement Cases

25 structured enforcement cases with institution type, violation type, fine amount, control failure analysis, and bidirectional regulation linking. Cases are searchable by keyword and filterable by violation type, year, and regulatory body.

04

Quick Reference

Static lookup table covering 10 core compliance obligations with thresholds, deadlines, maximum penalties, and linked regulatory provisions.

Methodology

Data layer: 55 regulation chunks covering 4 Chinese AML regulatory sources, with BM25-style keyword retrieval returning ranked results with match scores and highlighted terms. 25 enforcement cases link to regulations via linkedRegulationIds (legal sources only) and referenceRegulationIds (analytical sources). Q&A uses a two-layer retrieval pipeline: client-side regulation ranking feeds into server-side case recall, with Anthropic claude-sonnet-4-6 generating structured answers that separate legal/regulatory basis from reference materials. Evidence layering enforced by system prompt and validated in output.

Tech Stack

Risk AnalyticsRISK
RAGRAG
LLMLLM
WorkflowFLOW

Project Info

Read time8 min
Live demoAvailable
FeaturedYes
Tags4
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Why This Exists

When handling compliance questions, officers must jump between multiple PDFs and policy documents. ComplianceIQ productizes this research workflow — one interface for regulation search, case comparison, and AI analysis.

Architecture

Next.js 14 + TypeScript + Tailwind CSS
BM25 retrieval (CJK bigram tokenization)
claude-sonnet-4-6 SSE streaming
Server-side case recomputation + evidence layering
Vercel deployment + ZH/EN i18n

Relationship with AML Sentinel

AML Sentinel
Find risks: monitoring → investigation → STR draft
ComplianceIQ
Find rules: regulation search → case comparison → AI analysis
View AML Sentinel
Interactive Demo

Compliance Research Workbench

Search regulations, compare enforcement cases, get AI explanations, and reference operational guidance in one workbench.

Type a compliance question, or select a preset below to begin research

The system will automatically retrieve relevant regulations and enforcement cases, generating a structured answer with citations (Conclusion → Legal Basis → Reference Materials → Cases → Advice)