Domain-Knowledge Guided Agent Framework for Compliance Investigations
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Solution Overview
Problem
Conventional compliance investigation systems are time-consuming and inefficient, requiring manual labor and lacking cohesive integration of tools, which hinders optimal utilization of collective knowledge and increases operational costs.
Innovation Solution
An automated compliance investigation framework utilizing a domain-knowledge guided agent with dual LLM workers, including a main-LLM-worker for overall reasoning and a specialized-LLM-worker for specific tasks, integrated with a data-guard module to protect sensitive data, enhances efficiency and accuracy.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Measurement precision
If manual investigation processes are used, then investigators can analyze complex compliance cases, but the process becomes time-consuming and labor-intensive
Solution Approach 1:
The patent introduces an automated agent as an intermediary between investigators and compliance data. This agent uses LLMs to perform preliminary analysis, data synthesis, and pattern recognition, freeing investigators from manual analysis while maintaining high accuracy. The agent handles routine analytical tasks, allowing human investigators to focus on complex decision-making.
Solution Approach 2:
The patent replaces manual mechanical analysis processes with automated LLM-based systems. The LLMs perform natural language processing, data interpretation, and pattern recognition that previously required human investigators to manually review documents and data, significantly reducing investigation time while maintaining or improving accuracy.
2Adaptability or versatility
If multiple distinct tools are used for analyzing different data types, then comprehensive analysis is possible, but the process becomes complex and requires switching between tools
Solution Approach 1:
The patent merges multiple distinct analytical tools into a single integrated automated agent framework. The agent can analyze transaction data, knowledge graphs, memos, and external information through unified LLM processing, eliminating the need for investigators to switch between multiple tools while maintaining comprehensive analytical capabilities.
Solution Approach 2:
The automated agent is designed as a universal system that can handle multiple types of compliance data and analysis tasks through its LLM-based architecture. The same agent can process structured data, unstructured text, knowledge graphs, and perform various analytical functions, replacing multiple specialized tools with one multi-functional system.
3Measurement precision
If comprehensive data analysis is performed, then accurate compliance decisions can be made, but substantial analytical effort is required
Solution Approach 1:
The automated agent performs self-service by autonomously gathering, analyzing, and synthesizing compliance data without requiring substantial human analytical effort. The LLM-based agent independently interprets data, identifies patterns, and generates insights, allowing investigators to make accurate decisions with minimal manual analysis work.
Solution Approach 2:
The patent changes the parameter of analytical effort from high to low by introducing automated LLM processing. The system maintains comprehensive data analysis capabilities while transforming the nature of the work from manual analytical effort to automated processing, significantly improving investigator productivity.
4Productivity
If automated systems are used, then efficiency increases, but data security concerns arise
Solution Approach 1:
The automated agent acts as a secure intermediary that processes compliance data within a controlled framework. The system implements data protection measures including access controls, encryption, and secure data handling protocols, ensuring that automation efficiency gains do not compromise data security or confidentiality.
Data Source
AI summary
There are provided systems and methods for a domain-knowledge guided agent framework for automated system analysis. An online transaction processor or other service provider may provide computing services and platforms to entities, which may require compliance enforcement for different policies, regulations, and the like. To provide compliance review, investigations, and enforcement in a computing system of a service provider, the service provider may implement an intelligent and automated agent and framework that may utilize different large language models for processing compliance investigation requests and queries. The agent may utilize the models to plan and execute tasks using an available toolkit of computing operations and capabilities for compliance investigation. A data guard module may also be used to ensure data privacy and security is maintained. Within a main task, sub-tasks may be executed by models with specific domain knowledge.