Compliance Brain Assistant: Conversational Agentic AI for Assisting Compliance Tasks in Enterprise Environments

This paper presents Compliance Brain Assistant (CBA), a conversational, agentic AI assistant designed to boost the efficiency of daily compliance tasks for personnel in enterprise environments. To strike a good balance between response quality and latency, we design a user query router that can intelligently choose between (i) FastTrack mode: to handle simple requests that only need additional relevant context retrieved from knowledge corpora; and (ii) FullAgentic mode: to handle complicated requests that need composite actions and tool invocations to proactively discover context across various compliance artifacts, and/or involving other APIs/models for accommodating requests. A typical example would be to start with a user query, use its description to find a specific entity and then use the entity's information to query other APIs for curating and enriching the final AI response. Our experimental evaluations compared CBA against an out-of-the-box LLM on various real-world privacy/compliance-related queries targeting various personas. We found that CBA substantially improved upon the vanilla LLM's performance on metrics such as average keyword match rate (83.7% vs. 41.7%) and LLM-judge pass rate (82.0% vs. 20.0%). We also compared metrics for the full routing-based design against the `fast-track only` and `full-agentic` modes and found that it had a better average match-rate and pass-rate while keeping the run-time approximately the same. This finding validated our hypothesis that the routing mechanism leads to a good trade-off between the two worlds.

Feature Detection and Attenuation in Embeddings

Embedding is one of the fundamental building blocks for data analysis tasks. Although most embedding schemes are designed to be domain-specific, they have been recently extended to represent various other research domains. However, there are relatively few discussions on analyzing these generated embeddings, and removing undesired features from the embedding. In this paper, we first propose an innovative embedding analyzing method that quantitatively measures the features in the embedding data. We then propose an unsupervised method to remove or alleviate undesired features in the embedding by applying Domain Adversarial Network (DAN). Our empirical results demonstrate that the proposed algorithm has good performance on both industry and natural language processing benchmark datasets.