Open Source in Finance Forum New York 2024

Change Management team conducted a POC to implement GenAI based framework for reviewing quality of change implementation requests (CIR) for making production software or infrastructure changes, that will ensure a certain standard and guidelines are adhered potentially preventing the production impact, and possibility of Change Control Failure resulting in an audit or regulatory findings. For an ecosystem that completes thousands of changes each year, this framework will provide an efficient method to review change quality, ensure SDLC compliance and implement change controls. GenAI Assisted Quality check: Introduction of LLM based evaluation of CIR: Every CIR will be scanned through LLM using pre defined rubrics, in case it is not up to a certain standard, or missing any information, the AI assistant will prompt back to user to provide the information to create a complete CIR. This is implemented using zero shot prompt and completion inference of LLM model. Graph based RAG Status: CIRs are stored in a graph data structure, through which relations are captured. LLM is used for generating cypher queries to traverse the knowledge graph to determine relevant relation between CIRs and flag potential risk