arXiv:2511.07803cs.CYcs.AI2025-11AAAI

用AI精准检查企业反奴役声明是否符合法规,结果可被法律专家验证。

Judging by the Rules: Compliance-Aligned Framework for Modern Slavery Statement Monitoring

  • 将合规审查转化为规则匹配问题,用模型生成可验证的解释。
  • 提出CA-Judge评估理由与法规的一致性,训练出合规对齐的CALLM模型。
  • 适合法律合规、企业审计和监管机构使用,输出透明可信。

现代奴隶制影响全球数百万人,各国如英国《现代奴隶法案》要求企业发布详细披露。然而,这些声明常模糊不一,人工审核耗时且难以规模化。尽管NLP前景广阔,但高风险合规任务需超越准确分类,强调可解释、规则对齐的输出,供法律专家核实。现有大模型应用常将复杂监管评估简化为二元判断,缺乏法律审查所需的结构。本文认为合规验证本质是规则匹配:评估文本是否遵循明确法规条款。为此,提出全新框架,利用AI进行规则级合规验证并保留专家监督。核心为合规对齐判官(CA-Judge),评估模型生成理由与法定要求的契合度。基于此反馈,训练出合规对齐语言模型(CALLM),能生成规则一致、人类可验证的输出。该模型提升预测性能,同时确保输出透明且法律基础坚实,为真实世界合规分析提供更可验证、可操作的解决方案。

原文摘要 · Abstract (English)

Modern slavery affects millions of people worldwide, and regulatory frameworks such as Modern Slavery Acts now require companies to publish detailed disclosures. However, these statements are often vague and inconsistent, making manual review time-consuming and difficult to scale. While NLP offers a promising path forward, high-stakes compliance tasks require more than accurate classification: they demand transparent, rule-aligned outputs that legal experts can verify. Existing applications of large language models (LLMs) often reduce complex regulatory assessments to binary decisions, lacking the necessary structure for robust legal scrutiny. We argue that compliance verification is fundamentally a rule-matching problem: it requires evaluating whether textual statements adhere to well-defined regulatory rules. To this end, we propose a novel framework that harnesses AI for rule-level compliance verification while preserving expert oversight. At its core is the Compliance Alignment Judge (CA-Judge), which evaluates model-generated justifications based on their fidelity to statutory requirements. Using this feedback, we train the Compliance Alignment LLM (CALLM), a model that produces rule-consistent, human-verifiable outputs. CALLM improves predictive performance and generates outputs that are both transparent and legally grounded, offering a more verifiable and actionable solution for real-world compliance analysis.

合规检测法律AI规则对齐大模型

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