# Advancing Risk and Quality Assurance: A RAG Chatbot for Improved Regulatory Compliance

arXiv: https://arxiv.org/abs/2507.16711 · HTML: https://mlsanity.com/paper/2507.16711/

## Key facts

- Cited by 4 papers in the map (data through 14 Oct 2026).
- Placed in RAG pipeline design and evaluation, one of 15 directions in Retrieval-augmented generation.
- Builds on 4 of its 5 references that are in the map.
- First posted on arXiv 22 Jul 2025.

## Placed in

- Retrieval-augmented generation / [RAG pipeline design and evaluation](https://mlsanity.com/rag/rag-pipeline-design-and-evaluation/)

## Builds on (most cited first, 4 of 4)

- [Language Models are Few-Shot Learners](https://mlsanity.com/paper/2005.14165/) (2020)
- [GPT-4 Technical Report](https://mlsanity.com/paper/2303.08774/) (2023)
- [Judging LLM-as-a-Judge with MT-Bench and Chatbot Arena](https://mlsanity.com/paper/2306.05685/) (2023)
- [G-Eval: NLG Evaluation using GPT-4 with Better Human Alignment](https://mlsanity.com/paper/2303.16634/) (2023)

## Built on by (most cited first, 4 of 4)

- [RAGulating Compliance: A Multi-Agent Knowledge Graph for Regulatory QA](https://mlsanity.com/paper/2508.09893/) (2025)
- [Domain-Adaptation through Synthetic Data: Fine-Tuning Large Language Models for German Law](https://mlsanity.com/paper/2601.14160/) (2026)
- [Multi-Modal Vision vs. Text-Based Parsing: Benchmarking LLM Strategies for Invoice Processing](https://mlsanity.com/paper/2509.04469/) (2025)
- [Automated Regulatory Compliance Question Answering in Financial Services with Domain-Adapted Retrieval-Augmented Generation](https://mlsanity.com/paper/2609.30009/) (2026)

## Abstract (arXiv)

Risk and Quality (R&Q) assurance in highly regulated industries requires constant navigation of complex regulatory frameworks, with employees handling numerous daily queries demanding accurate policy interpretation. Traditional methods relying on specialized experts create operational bottlenecks and limit scalability. We present a novel Retrieval Augmented Generation (RAG) system leveraging Large Language Models (LLMs), hybrid search and relevance boosting to enhance R&Q query processing. Evaluated on 124 expert-annotated real-world queries, our actively deployed system demonstrates substantial improvements over traditional RAG approaches. Additionally, we perform an extensive hyperparameter analysis to compare and evaluate multiple configuration setups, delivering valuable insights to practitioners.