FinTechGenerative AI & ML
AI-powered Smart Learning Assistant to Enhance Information Retrieval for a Financial Planning Platform
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The Challenge
The client — a growing financial planning platform serving independent advisors — faced a critical information bottleneck. Advisors spent an average of 40 minutes per client session manually searching through regulatory documents, product guides, and compliance updates to answer queries.
The volume of documentation made it impossible to stay current, and inconsistent answers were eroding client trust.
Our Approach
- Fine-tuned a domain-adapted LLM on proprietary financial corpora and compliance frameworks
- Built a hybrid retrieval system combining dense vector search with keyword BM25 re-ranking
- Designed a citation layer that surfaces the exact source document and page for every answer
- Deployed on serverless infrastructure with sub-2-second latency at scale
- Integrated compliance guardrails to flag responses requiring human advisor review
Results
3× reduction in time advisors spend retrieving information per client session
92% accuracy on a benchmark of 500 curated financial queries, verified by domain experts
67% of advisors reported increased confidence in regulatory compliance after deployment
40% reduction in escalations to senior compliance staff within 90 days of launch
Technology Stack
GPT-4 fine-tuning · Pinecone vector database · LangChain · FastAPI · AWS Lambda · React frontend · Postgres for audit logging
Related Services
This project drew on our work in RAG Systems, LLM Fine-Tuning, Generative AI Development.
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