A regulatory assistant for the compliance team of an NBFC
- 01Starting point
- The compliance team of a non-banking financial company tracks RBI master directions, circulars and its own board-approved policies. Branch and product staff send the same questions by email, and replies differ depending on who answers.
- 02What we would set up
- Retrieval over RBI directions and internal policies with access rights from the document store, answers that show the governing paragraph and its date, and a refusal when no current source applies.
- 03Where an officer decides
- The chief compliance officer approves the reference test set and signs off any release that changes how a direction is answered.
- 04How success would be measured
- Share of answers citing the correct and current paragraph, refusal rate on questions outside scope, and time compliance staff spend on routine queries.