How to build a Compliance Chatbot

Workflow Overview

1. User Message Input

• Node: User message

• Purpose: Collects a question or message from the user (e.g., “Do these social media posts about our credit card need to include APR disclosure?”).

• How it works: This is the starting point. The user types their compliance-related question here.

2. File Upload

• Node: Files

• Purpose: Lets users upload and process files (such as policy documents, marketing materials, or social media posts).

• How it works: Users can upload relevant documents. The node processes these files, including OCR (Optical Character Recognition) for scanned documents, and prepares the content for analysis.

3. Compliance Analysis

• Node: Compliance Checker (LLM)

• Purpose: Analyzes the user’s question, the uploaded files, and internal policy data.

• How it works:

  • Receives the user’s message and the uploaded files.

  • Searches the provided files and a connected knowledge base for relevant policy sections.

  • Summarizes the compliance rule in simple terms.

  • If the answer is unclear or missing, it responds: “This requires escalation to the Compliance Team.”

  • Always cites the exact section, page, or policy name where the answer is found.

4. Escalation (if needed)

• Node: Email Drafter (LLM)

• Purpose: Drafts and sends an escalation email to the compliance team if the Compliance Checker cannot provide a clear answer.

• How it works:

  • If the Compliance Checker’s output is ambiguous or says escalation is needed, this node drafts an email summarizing the user’s message and attaches relevant files.

  • The email is prepared for sending to the compliance team using a Gmail integration.

5. Output

• Node: Output

• Purpose: Displays the final result to the user.

• How it works: Shows the compliance answer (or escalation notice) to the user.

How the Nodes Connect

• User message and Files → Compliance Checker
  (The checker uses both the user’s question and uploaded files for its analysis.)

• Compliance Checker → Output
  (If a clear answer is found, it’s shown to the user.)

• Compliance Checker → Email Drafter
  (If escalation is needed, the output is sent to the Email Drafter.)

• Email Drafter (not directly connected to Output in this flow, but prepares the escalation email for the compliance team.)

Summary Table

In short:
The workflow collects a user’s compliance question and any relevant files, analyzes them against internal policies, and provides a clear, referenced answer. If the answer can’t be found, it automatically prepares an escalation email to the compliance team.