针对金融文档问答优化检索策略,提升大模型生成准确性。
Optimizing Retrieval Strategies for Financial Question Answering Documents in Retrieval-Augmented Generation Systems
- 三阶段流程:预处理、混合检索、后处理优化
- 在7个金融数据集上显著提升检索效果
- 适合金融领域RAG系统开发者参考
检索增强生成(RAG)能有效缓解大语言模型的幻觉问题,但其性能高度依赖于检索系统。在金融领域,如10-K报告这类文档因专业术语和多层级表格数据带来独特挑战。本文提出一个高效端到端RAG流水线,采用三阶段方法:预检索阶段通过多种查询与语料预处理丰富输入;检索阶段利用领域知识微调先进嵌入模型,并结合密集与稀疏表示的混合检索策略;后检索阶段采用直接偏好优化(DPO)训练和文档选择方法进一步精炼结果。在七个金融问答数据集(FinDER、FinQABench、FinanceBench、TATQA、FinQA、ConvFinQA、MultiHiertt)上的评估显示,该方法显著提升检索性能,从而实现更准确且上下文相关的生成。研究强调了定制化检索技术对金融RAG系统的重要性。完整可复现代码已开源:https://github.com/seohyunwoo-0407/GAR。
原文摘要 · Abstract (English)
Retrieval-Augmented Generation (RAG) has emerged as a promising framework to mitigate hallucinations in Large Language Models (LLMs), yet its overall performance is dependent on the underlying retrieval system. In the finance domain, documents such as 10-K reports pose distinct challenges due to domain-specific vocabulary and multi-hierarchical tabular data. In this work, we introduce an efficient, end-to-end RAG pipeline that enhances retrieval for financial documents through a three-phase approach: pre-retrieval, retrieval, and post-retrieval. In the pre-retrieval phase, various query and corpus preprocessing techniques are employed to enrich input data. During the retrieval phase, we fine-tuned state-of-the-art (SOTA) embedding models with domain-specific knowledge and implemented a hybrid retrieval strategy that combines dense and sparse representations. Finally, the post-retrieval phase leverages Direct Preference Optimization (DPO) training and document selection methods to further refine the results. Evaluations on seven financial question answering datasets-FinDER, FinQABench, FinanceBench, TATQA, FinQA, ConvFinQA, and MultiHiertt-demonstrate substantial improvements in retrieval performance, leading to more accurate and contextually appropriate generation. These findings highlight the critical role of tailored retrieval techniques in advancing the effectiveness of RAG systems for financial applications. A fully replicable pipeline is available on GitHub: https://github.com/seohyunwoo-0407/GAR.
Thank you to arXiv for use of its open access interoperability. PaperDance 不是 arXiv 官方产品;中文卡片由大模型生成,请以原文为准。