The Challenge

A large government institution was struggling to effectively monitor and enforce compliance with complex regulations across multiple industries and sectors. Their existing processes for identifying non-compliance relied on manual workflows that were slow and reactive, hindering their ability to stay current with the fast-paced regulatory landscape. This approach led to delays in identifying regulatory breaches and prevented the institution from proactively addressing potential compliance issues.

To increase efficiency and shift to a proactive compliance strategy, the institution sought an automated solution capable of continuously monitoring online content and flagging potential compliance concerns in real time. They required a robust tool that could crawl the web, extract and process diverse content types, and compare this information against intricate legal and regulatory standards. Additionally, the solution needed to process both structured and unstructured data, including OCR-based scanned documents, to provide comprehensive monitoring.

Our Solution

We developed an advanced AI prototype in three months, integrating powerful open-source and commercially available Large Language Models (LLMs), such as OpenAI’s GPT-4o, GPT-4o-mini, and LLAMA3. This solution featured a web crawling component that autonomously scans websites, extracting relevant content and storing it in vector form within a PostgreSQL database to enable efficient retrieval and analysis.

To tackle the complexity of regulatory texts, we utilized DSPy modules to convert legislative language into structured question-and-answer pairs, simplifying comparisons with the data extracted from web sources. Furthermore, OCR technology was integrated to process regulatory and legislative materials in scanned or image formats, expanding the scope of accessible content. The system then uses LLMs to assess compliance by comparing the extracted web data against regulatory texts. Results are displayed in an intuitive interface using a traffic light-style indicator system—green for compliance, yellow for warnings, and red for non-compliance—enabling agents to quickly gauge compliance levels and review detailed summaries when necessary.

The Outcome

Implementing this AI-driven solution has significantly increased productivity and efficiency for the government institution’s internal teams. Real-time compliance insights and clear, visual risk indicators now allow agents to monitor websites proactively, identifying potential non-compliance issues before they escalate. The traffic light-style interface helps prioritize focus areas, enabling agents to address high-risk zones promptly while keeping compliant and warning areas under surveillance.

This proactive approach has not only streamlined operations but also led to faster reporting and improved compliance across sectors. The integration of cutting-edge LLM and OCR technologies has enabled the institution to handle structured and unstructured data with ease, achieving a comprehensive level of oversight that aligns with their goals for regulatory enforcement in an evolving digital environment.