Banking — Customer Interaction Compliance Audit Automation

Overview

The purpose of this DAG is to automate the audit process of customer interactions, ensuring compliance with regulatory requirements in the banking sector. It collects data from various systems, including Customer Relationship Management (CRM) and IT Service Management (ITSM) platforms, to create a comprehensive dataset for analysis. The ingestion pipeline begins with data extraction from these sources, followed by a transformation process where compliance rules are applied to verify that interac

The purpose of this DAG is to automate the audit process of customer interactions, ensuring compliance with regulatory requirements in the banking sector. It collects data from various systems, including Customer Relationship Management (CRM) and IT Service Management (ITSM) platforms, to create a comprehensive dataset for analysis. The ingestion pipeline begins with data extraction from these sources, followed by a transformation process where compliance rules are applied to verify that interactions meet established regulatory standards. The processing logic includes the identification of non-compliant interactions, categorization of incidents, and generation of compliance metrics. The outputs of this DAG include a detailed compliance report, a summary of detected incidents, and key performance indicators (KPIs) such as compliance rates and the number of incidents identified. Monitoring these KPIs provides valuable insights into the effectiveness of customer interactions and helps identify areas for improvement. The business value of this DAG lies in its ability to streamline compliance audits, reduce manual review efforts, and enhance the overall compliance posture of the organization, ultimately mitigating regulatory risks and fostering customer trust.

Part of the AI Assistants & Contact Center solution for the Banking industry.

Use cases

• Reduces manual compliance auditing efforts significantly
• Enhances regulatory compliance and reduces risk exposure
• Improves customer trust through transparent interactions
• Facilitates quicker response to compliance issues
• Supports continuous improvement in customer service quality