Financial services · Hong Kong
Compliance Q&A copilot for a HK fintech compliance team
The problem
Their compliance team was fielding ~200 internal queries per week from front-office staff: regulatory clarifications, transaction-rule lookups, and KYC exceptions. The team was 8 people, growing headcount got expensive, and the institutional knowledge lived in 14 years of internal memos scattered across SharePoint, email, and three different wikis. New hires took 6 months to ramp.
Engagement
- audit
- embed
- run
- Q1 2025 – ongoing
Disclosure
Anonymised at client request. Metrics labelled 'to confirm' have not been independently verified. Architecture, regulatory framing, and the retention path are anonymised; the underlying facts are real.
Approach
What we did.
Audit: 4-page audit of the existing knowledge base, query patterns, and current escalation paths. Identified the 30% of queries that a well-prompted RAG system could answer verbatim.
Embed: 6-week build. Pinned their SharePoint + the regulator's published guidance as the source corpus. Eval harness covering 1,200 historical queries; ship-gate on accuracy on a held-out set.
Embed: human-in-the-loop. Every answer carries a citation; every low-confidence answer escalates to a human reviewer. No black-box answers, ever.
Run: monthly review, quarterly model-swap review, on-call during HKT hours.
Outcomes
What it shipped.
~200
internal queries / week
30%
auto-resolved by copilot
<3s
p50 answer latency
100%
answers carry a citation
What the client said
"We stopped hiring our third junior compliance officer. The copilot handles the body of the work; the team handles the judgement."
— Head of Risk, HK fintech (anonymised)
Similar problem?
One week. Free. Then you decide.
Our engagement starts with a 1-week audit — one per quarter, per company. If we can't help, you keep the report. That's the policy.