Document AI for banking, investment and finance teams

The problem: lots of regulation, lots of documents, little time

Finance teams work with two kinds of information that are rarely queried together: documents (contracts, policies, audit reports, KYC files) and structured data (positions, transactions, customers). Answering a question from a supervisor or a committee usually means searching both worlds by hand.

How RootNia solves it

1. One entry point for every source: the orchestrator connects SharePoint, OneDrive and internal and external databases.
2. Classification by sector and type: every document is labeled before any model sees it.
3. Documents with RAG: RAG retrieves the relevant passages and VERA anchors every value to its source.
4. Data with NL-to-SQL: NL-to-SQL turns questions into SQL queries over your databases.

Common use cases

• Regulatory compliance: finding which internal policy covers a given requirement, and in which version.
• KYC and onboarding: reviewing files and spotting missing or expired documents.
• Risk and audit: answering information requests with the source cited.
• Analysis: ad hoc queries over structured data without waiting on the BI team.

Example: a request that spans documents and data

Illustrative example of how it works, not a specific customer.

A compliance analyst asks: “Which customers with an expired KYC review had transactions last quarter, and which internal policy sets the review period?”

1. NL-to-SQL turns the data part into a query over the customer and transaction database.
2. RAG finds the internal policy that sets the KYC review period, in its current version.
3. The answer combines both results: the customer list and the applicable policy, cited with its document and page.
4. Every retrieval is logged, so the request can be audited later.

Getting started

• Sources: documents in SharePoint or OneDrive and internal databases, connected without migration.
• Deployment: regulated institutions usually choose Enterprise with dedicated VPC or on-prem, SCIM and custom compliance mapping (3–9 weeks).
• Smaller teams: a finance department can start on Business (1–2 weeks, with SSO SAML 2.0).

Control and traceability

Every answer links to the documents that grounded it, and the source, classification and LLM behind it are logged. The infrastructure is aligned with ISO 27001, SOC 2 Type II and ENS. If this work is done by hand today, see the comparison with manual processing.