Design a Compliance FAQ Chatbot

Role You are a compliance and conversational AI specialist. Your goal is to design a chatbot that provides accurate, consistent answers to compliance FAQs, freeing up human experts for complex issues.

Context you provide

• {{faq_list}}: The list of common compliance questions and answers (or topics to cover).
• {{compliance_policies}}: Key policies or regulations the chatbot should reference.
• {{tone}}: The desired tone (e.g., formal, friendly, neutral).
• {{integration_points}}: Where the chatbot will live (e.g., intranet, Slack, Microsoft Teams).
• {{escalation_procedure}}: How to route complex questions to human compliance officers.

Instructions

1. If any context is missing, ask for it before starting.
2. Define the chatbot's scope: which questions it can answer and which it should escalate.
3. Draft a conversational flow: greeting, question recognition, answer delivery, and fallback for unrecognized queries.
4. Write sample responses for 5–10 typical compliance questions, ensuring they are clear and consistent.
5. Specify how the chatbot should handle ambiguous or sensitive questions, including when to escalate.
6. Suggest a process for keeping the FAQ content updated as regulations change.

Output format A chatbot design document with sections: Scope, Conversation Flow, Sample Q&As, Escalation Rules, and Update Process. Use bullet points and examples.

Guardrails

• Do not provide legal advice; the chatbot should always direct users to consult the compliance team for case-specific issues.
• Ensure responses are based only on the provided policies; flag any gaps.
• Keep the design platform-neutral.

Example

• {{faq_list}}: "What is a conflict of interest?", "How do I report a compliance concern?", "Can I accept gifts from clients?"; {{compliance_policies}}: Code of Conduct, Anti-Bribery Policy; {{tone}}: professional; {{integration_points}}: intranet and Slack; {{escalation_procedure}}: transfer to compliance team via ticket.