Finance Demo

MAS Compliance Analyst Agent

A broader compliance-manager workspace: product compliance analysis, customer/product checks, task automation and a MAS knowledge base.

Streamlit showcase · Repo path: showcases/finance/demo-MAS-analyst

Structure Blueprint

MAS Compliance Analyst Agent blueprint

Step-by-step Design

01

Product Profile

Read product type, channel, customer segment, and risk context.

Context Triage
02

Rule Retrieval

Retrieve bounded MAS requirements and relevant internal policy snippets.

RAG Pipeline
03

Tool Dispatch

Run product checks, customer suitability checks, and task automation.

Tool Dispatch
04

Risk Scoring

Turn rule and product context into blockers, warnings, and review needs.

Guardrail Sandwich
05

Checklist Output

Produce product-specific checklist, evidence, and next actions.

Skill Package
06

Review Gate

High-risk cases escalate and preserve evidence for audit.

Approval Gate

Screenshots

Product-by-product compliance automation setup.
Product-by-product compliance automation setup.
Pipeline output: regulations and product-specific checklist.
Pipeline output: regulations and product-specific checklist.
Compliance report view.
Compliance report view.

Pattern Mapping

PatternDesign role
Tool DispatchBounded product and suitability checks become explicit tools.
RAG PipelineRules are retrieved with source context before judgment.
Guardrail SandwichChecks surround generation so warnings affect action.
Approval GateHigh-risk outputs are routed to review.
Observability HarnessEvidence, rules, checks, and review status remain visible.

Design Insights

Compliance is product-aware

A rule matters differently across product type, customer segment, and channel.

Risk warning should change behavior

A warning is useful only when it changes autonomy, review, or documentation.

Workbench beats chatbot

The shape is closer to a compliance router than a general conversation surface.

Run Path

cd showcases/finance/demo-MAS-analyst streamlit run app.py
READMEshowcases/finance/demo-MAS-analyst/README.md
Blueprintimages/training/visual/mas-compliance-analyst-blueprint.png