# Getting Started with RuleWise: Complete Enterprise Onboarding Guide RuleWise is built specifically for financial services organizations that need to manage compliance across multiple jurisdictions and organizational units. This comprehensive guide will walk you through the complete onboarding process, from initial setup to full operational deployment. ## Understanding RuleWise's Architecture Before diving into setup, it's important to understand how RuleWise's patent-pending multi-organization, jurisdiction-specific architecture works. Unlike traditional compliance platforms that treat all regulatory content as a single pool, RuleWise automatically scopes every query, search, and AI interaction to your organization's specific context. ### Key Architectural Components 1. **Organization Scoping**: Each organization has its own isolated namespace in the knowledge base, ensuring complete data separation and privacy 2. **Jurisdiction Management**: Organizations can enable multiple jurisdictions (EU, US, UK, Guernsey, Singapore, etc.) to automatically access relevant regulations 3. **RAG Architecture**: Advanced retrieval-augmented generation combines your organization's policies with jurisdiction-specific regulations for contextual compliance guidance ## Step 1: Organization Setup and User Management ### Creating Your Organization When you first access RuleWise, you'll complete the onboarding process to create your organization. This establishes your isolated workspace within the platform. **What Gets Created:** - Dedicated Pinecone namespace (`org-{organizationId}`) for your policy documents - Organization-specific database records scoped to your team - Member management system with role-based access control ### Adding Team Members RuleWise supports two member roles: **Organization Admin:** - Manage organization policies and knowledge base - Enable/disable jurisdictions - Add and remove team members - Configure organization settings - Upload and manage policy documents **Organization Member:** - Access AI agents for compliance research - Participate in compliance training and quizzes - Create and manage compliance chats - View organization policies and regulations To add team members, navigate to your organization dashboard and use the member management interface. Members can belong to multiple organizations if needed, with the ability to switch between organizational contexts. ## Step 2: Enabling Jurisdictions One of RuleWise's most powerful features is automatic multi-jurisdiction compliance. Here's how to configure it: ### Available Jurisdictions RuleWise maintains regulatory content for major financial services jurisdictions, including: - European Union (GDPR, MiFID II, DORA) - United States (SEC, FINRA, Dodd-Frank) - United Kingdom (FCA regulations) - Guernsey (GFSC handbook) - Singapore (MAS guidelines) - And more jurisdictions added regularly ### Enabling Jurisdictions for Your Organization 1. Access your organization settings or admin dashboard 2. Navigate to the Jurisdictions section 3. Select all jurisdictions relevant to your operations 4. Save your configuration **What Happens When You Enable a Jurisdiction:** - Jurisdiction-specific regulations become immediately available in knowledge base searches - AI agents automatically incorporate relevant regulations in their responses - Compliance training content adapts to include jurisdiction-specific requirements - Mock audits and regulatory interviews include jurisdiction-specific questions ### Multi-Jurisdiction Scenarios **Example 1: EU Financial Institution with US Operations** Enable both EU and US jurisdictions. When your compliance team asks about data privacy requirements, RuleWise will automatically surface GDPR requirements alongside relevant US federal and state laws. **Example 2: Guernsey Fund Administrator** Enable Guernsey and EU jurisdictions. Queries about fund administration will incorporate GFSC handbook requirements along with relevant EU directives like AIFMD. ## Step 3: Building Your Knowledge Base The knowledge base is the foundation of RuleWise's AI-powered compliance assistance. Here's how to populate it effectively: ### Uploading Organization Policies RuleWise accepts PDF documents for your organization-specific policies: **What to Upload:** - Compliance manuals and procedures - Internal policies and controls - Risk management frameworks - Code of conduct and ethics policies - Audit reports and remediation plans - Training materials and guides **Upload Process:** 1. Navigate to the Policies section of your organization dashboard 2. Select "Upload Policy" and choose your PDF file 3. Optionally link the policy to specific jurisdictions 4. The system automatically processes the document: - Text extraction with OCR for scanned documents - Intelligent chunking (~1000 characters) with sentence boundary detection - Embedding generation using OpenAI's text-embedding-3-small model - Storage in your organization's isolated Pinecone namespace **Processing Time:** Most documents process within 2-5 minutes depending on size and complexity. You'll receive confirmation when processing completes and the content is searchable. ### Best Practices for Policy Organization **Use Descriptive Filenames:** Instead of "policy_v3_final.pdf", use "AML-Transaction-Monitoring-Procedure-2025.pdf" **Keep Policies Current:** Upload updated versions when policies change. RuleWise tracks versions and ensures the latest content is always used. **Link to Jurisdictions:** When uploading policies, specify which jurisdictions they relate to. This creates more targeted search results and better AI responses. **Organize by Domain:** Structure your uploads by compliance domain (AML, data privacy, conduct risk, operational resilience) for easier management. ## Step 4: Leveraging AI Agents RuleWise provides five specialized AI agents that your compliance team can invoke during conversations: ### RuleWise Insight Your primary compliance research assistant. Insight queries your organization's knowledge base and enabled jurisdiction regulations, with fallback to real-time web search when needed. **Use Cases:** - "What are our procedures for handling suspicious transactions under our AML policy?" - "How do GFSC requirements compare to our current data retention policy?" - "What does MiFID II require for client onboarding?" ### RuleWise Quest Creates educational compliance training materials and interactive quizzes. **Use Cases:** - "Create a quiz on our insider trading policy for new hires" - "Generate training materials for GDPR data subject rights" - "Build a compliance certification program for financial advisors" ### RuleWise Probe Conducts regulatory compliance interviews to assess organizational readiness. **Use Cases:** - "Interview me about our AML transaction monitoring capabilities" - "Assess our preparedness for a GDPR data protection audit" - "Evaluate our operational resilience against DORA requirements" ### RuleWise Inspector Runs comprehensive mock audit simulations based on regulatory standards. **Use Cases:** - "Conduct a mock FCA conduct risk audit" - "Simulate an SEC cybersecurity examination" - "Run a GFSC compliance review simulation" ### RuleWise Resilience Crisis resilience and business continuity training. **Use Cases:** - "Simulate a ransomware attack scenario" - "Test our response to a major operational outage" - "Train leadership on regulatory breach notification procedures" ## Step 5: Deploying Compliance Training Once your knowledge base is populated, you can immediately begin creating compliance training: ### Creating Training Programs with Quest 1. Start a chat and invoke the Quest agent 2. Describe the training objective: "Create a comprehensive quiz on our AML policies for new compliance officers" 3. Quest analyzes your policies and relevant jurisdiction regulations 4. Generates a structured quiz with: - Multiple-choice questions - Help material and explanations - Scoring rubrics - Jurisdiction-specific considerations ### Assigning Quizzes to Team Members Created quizzes can be assigned to specific users or groups within your organization. Track completion rates, scores, and knowledge gaps through the training dashboard. ### Continuous Learning As regulations evolve and policies update, create refresher training to ensure ongoing compliance awareness across your organization. ## Step 6: Integrating into Daily Workflows ### For Compliance Officers **Morning Routine:** - Check Insight agent for overnight regulatory updates in enabled jurisdictions - Review quiz submission results from team training programs - Use Probe agent to prepare for upcoming regulatory meetings **Policy Review:** - Use Insight to compare current policies against latest regulatory guidance - Identify gaps using Inspector's mock audit capabilities - Document findings and remediation plans ### For Compliance Analysts **Research Tasks:** - Query knowledge base through Insight for specific regulatory questions - Cross-reference organization policies against jurisdiction requirements - Generate reports and summaries for management **Training Delivery:** - Assign Quest-generated quizzes to business units - Monitor completion and performance - Adapt training based on results ### For Senior Management **Strategic Planning:** - Use multi-jurisdiction insights to inform expansion decisions - Review mock audit results from Inspector to prioritize investments - Test crisis response through Resilience simulations ## Security and Data Isolation RuleWise's architecture ensures complete data separation: - **Organization Namespaces**: Your policies are stored in isolated Pinecone namespaces accessible only to your organization members - **Query Scoping**: All database queries and vector searches are automatically scoped to your organization ID - **Access Control**: Role-based permissions prevent unauthorized access - **Audit Logging**: Complete audit trail of all data access and modifications ## Getting Help and Support ### Documentation - Agent-specific guides for each of the five AI agents - Knowledge base optimization best practices - Multi-jurisdiction compliance strategies ### Support Channels - In-platform help and tutorials - Email support for technical issues - Account management for enterprise customers ## Next Steps Now that you've completed the basic setup: 1. **Upload Your Core Policies**: Start with 5-10 of your most important compliance documents 2. **Enable Relevant Jurisdictions**: Select all jurisdictions where you operate 3. **Train Your Team**: Create an onboarding quiz using Quest 4. **Run a Mock Audit**: Use Inspector to establish a compliance baseline 5. **Integrate into Workflows**: Make RuleWise agents part of your daily compliance operations ## Measuring Success Track these metrics to measure RuleWise's impact: - **Time Savings**: Reduction in manual policy research time - **Training Completion**: Quiz completion rates and scores - **Audit Readiness**: Mock audit scores trending upward - **Response Time**: Faster responses to regulatory inquiries - **Coverage**: Percentage of policies digitized in knowledge base ## Conclusion RuleWise transforms compliance from a reactive, manual process into a proactive, AI-assisted operation. By following this onboarding guide, your organization will be positioned to leverage advanced compliance automation while maintaining the rigor and oversight that regulators expect. The combination of organization-scoped knowledge bases, multi-jurisdiction regulatory content, and specialized AI agents provides a comprehensive compliance platform that scales with your organization's needs. Ready to get started? Log in to RuleWise and begin your compliance transformation today.