Overview
Multi-agent compliance systems automate the review of documents, contracts, and processes against regulatory requirements. These systems are particularly valuable in heavily regulated industries like finance, healthcare, and legal services.
Architecture
Documents → Ingestion Agent → Structured Data
↓
Compliance Check Agent → Findings
↓
Risk Assessment Agent → Risk Scores
↓
Evidence Gathering Agent → Supporting Docs
↓
Report Generation Agent → Audit Report
↓
Human Review Coordinator → Final Approval
Agent Roles
Document Ingestion Agent
- Parses various document formats
- Extracts key clauses and terms
- Structures for downstream analysis
Compliance Check Agent
- Compares against regulatory requirements
- Identifies gaps and violations
- Flags areas of concern
Risk Assessment Agent
- Scores risks by severity and likelihood
- Prioritizes issues for attention
- Considers historical patterns
Evidence Gathering Agent
- Collects supporting documentation
- Links findings to sources
- Builds audit trail
Report Generation Agent
- Creates comprehensive audit reports
- Formats for stakeholders
- Includes recommendations
Human Review Coordinator
- Routes complex cases to experts
- Manages approval workflows
- Ensures human oversight on critical decisions
Applications
- Contract Review: Identifying non-standard clauses, risks
- Regulatory Compliance: SOX, GDPR, HIPAA verification
- Model Risk Management: Validating ML model documentation
- Financial Audit: Transaction verification, anomaly detection
MRM Crew Example
Research has shown agentic crews with human-in-the-loop can effectively perform complex Model Risk Management tasks:
- Judge agent oversees process
- Specialized agents check documentation compliance
- Model replication and validation
- Conceptual soundness analysis
- Documentation writing
Key Patterns
- Human-in-the-Loop: Required for legal/regulatory sign-off
- Mutual Verification: Cross-checking between agents
- Defense in Depth: Multiple validation layers