Case Study: Automating Basel III Compliance for FinTech
Client Confidentiality Notice: This case study represents aggregated data across multiple deployments to protect client confidentiality. Metrics have been verified but client identity remains protected under NDA.
The Compliance Bottleneck
For modern FinTech institutions, regulatory adherence is not just a legal requirement—it's an operational choke point. Our client, a large financial institution, was spending $14M annually on manual document review to ensure Basel III compliance.
The problem? Human error. Fatigue leads to missed clauses, and missed clauses lead to nine-figure fines.
Enter the Sentinel
We deployed Compliance Sentinel, a specialized agentic workflow designed to ingest, parse, and audit financial instruments against real-time regulatory frameworks.
Architecture
- Ingestion: OCR + LayoutLMv3 for understanding unstructured PDFs and scanned contracts.
- Vectorization: Converting legal text into high-dimensional embeddings optimized for semantic retrieval.
- Adjudication: A specialized "Judge" agent that scores every clause against specific regulatory articles (e.g., Article 158 of CRR).
Results
The impact was immediate and quantifiable:
- Speed: Audit time per document reduced from 4.5 hours to 12 seconds.
- Accuracy: False positives reduced by 60% compared to human control groups.
- Cost: Operational expenditure slashed by 92% within the first quarter.
"We didn't just automate a task; we eliminated a risk category."
This deployment proved that Agentic AI is not just experimental tech—it is the new standard for risk governance.