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Lifan Guo

Publications and source records attributed to Lifan Guo.

18 recordsLinked to original sources
arXiv2026

Dual-Loop Self-Evolution via Verifiable Emotion Feedback for Multi-Turn Empathetic Dialogue

Large language models have demonstrated conversational capabilities, yet empathetic competence remains challenging. Empathetic support is inherently multi-turn and path-dependent: users disclose concerns gradually, emotions evolve over time, and early responses shape trust and receptivity. Reinforcement learning with verifiable emotion rewards provides scalable supervision for long-horizon interactions. However, existing methods evolve the dialogue policy while keeping its training interaction distribution fixed, creating a mismatch between policy competence and training experience. We introduce a dual-loop self-evolution framework driven by verifiable emotion feedback. With the user simulator and verifier frozen, the inner loop optimizes the multi-turn policy using continuous emotion rewards, while the outer loop uses the same outcomes to estimate policy-relative interaction utility and adapt experience. To obtain estimates from sparse, stochastic rollouts, the framework holds the scenario and interaction state constant within each group and prioritizes conditions whose group pass rates lie near the policy's competence boundary. A hierarchical controller shares evidence across support intents, while uncertainty-guided exploration and uniform rehearsal prevent premature exclusion. The resulting distribution generates trajectories, closing both loops without increasing the rollout budget. On SAGE, our framework raises Qwen3-8B Overall from 53.87 to 79.24 and outperforms protocol-matched uniform emotion-reward reinforcement learning by 7.23 points.

cs.CL↗
arXiv2026

REDAgentBench: Executable Red Teaming and Faithful Measurement of LLM Agent Systems

Large language model (LLM) agents combine language-based reasoning with external tools to perform complex tasks. Adversarial inputs can exploit interactions between the agent and its environment, causing the agent to violate safety policies during execution. Yet existing evaluations often reduce agent safety to a single attack success rate (ASR), collapsing exposure, execution, observation, and adjudication and potentially conflating actual violations with evidence visibility. We introduce REDAgentBench, an executable framework for autonomous red-teaming and faithful measurement. It derives attacks from explicit safety constraints and associated agent-system vulnerabilities, runs them in isolated service sandboxes, and verifies harmful effects from service receipts and final-state changes. The benchmark contains 1,661 cases across five service surfaces. Across six models and three agent harnesses, macro-average ASR is 65.69%; reported ASR varies with harness and evidence view, while evaluation-context disclosure changes execution behavior. In a state-grounded diagnostic cohort, almost one in five confirmed violations with resolved action anchors occurs after the agent states the relevant constraint or risk, revealing a Recognition--Execution Gap. Finally, a training-free policy reminder reduces confirmed violations by more than 70 percentage points in matched replay. These findings show that executable evaluation can improve safety measurement and identify actionable intervention points.

cs.AI↗
arXiv2026

FinEvo-Bench: A Longitudinal Benchmark for Self-Evolving Agents in Professional Financial Workflows

Most agent benchmarks evaluate tasks independently and cannot measure whether experience from one task helps with later tasks. Existing self-evolution benchmarks do not jointly cover professional workflows, open-ended deliverables, and multi-aspect evaluation. We introduce FinEvo-Bench, a longitudinal benchmark with 120 real-case-grounded tasks, 20 business scenes across six financial domains. Institution-provided professional procedures define the required operations and constraints. Eligible institution-provided and publicly documented cases supply the task facts. Each scene contains six related but substantively distinct cases that share a professional procedure and a manually reviewed rubric for task quality and financial compliance. We compare four self-evolving agent scaffolds using the same Qwen3.7-Max backbone and three independently shuffled, globally interleaved task streams. Paired non-evolving controls estimate each scaffold's self-evolution gain from retained experience, while an independent Claude Code scoring agent backed by Claude Opus 4.6 evaluates all outputs. Letta achieves the highest evolved score (91.65) and fewest compliance issues (0.09 per task); Codex achieves the largest self-evolution gain (+19.37). Across scaffolds, the evolving condition raises scores by 9.33-19.37 points and reduces compliance issues by 0.12-0.44 per task. Paired score gains at within-scene ranks 4-6 exceed those at ranks 1-3 by 6.10-8.70 points. In Claude Code, skill-only evolution produces higher task quality and fewer compliance issues than memory-only and combined memory-skill evolution. Across all four scaffolds, rubric feedback also yields higher scores and fewer compliance issues than reference-answer feedback. FinEvo-Bench measures both professional performance and self-evolution ability: how effectively an agent turns prior experience into later improvement.

cs.AI↗
arXiv2026

FinProBench: Evaluating Financial AI Agents with Role-Grounded Rubrics Derived from Professional Deliverables

Evaluating financial AI agents requires criteria aligned with real professional work. Existing rubric methods typically derive criteria from task prompts or model outputs, overlooking tacit standards visible only in practitioner deliverables. We introduce FinProBench, a benchmark for professional financial tasks, and Role-Grounded Rubric Construction (RGRC), a reusable pipeline that derives rubrics from deliverables produced by practitioners in the same role. RGRC comprises four stages: Deliverable Collection, Competency Extraction, Rubric Synthesis, and Validation. Its rubrics capture tacit standards, distinguish quality levels, and transfer across tasks within a role. Before analysis, we classified 57 occupations by deliverable genre into 30 prior-rich conventional roles and 27 prior-sparse role-specialized roles. Across all roles, Prompt-only nearly matches RGRC for conventional roles (89.2% vs. 90.7%), but RGRC substantially outperforms it for role-specialized roles (99.1% vs. 78.0%). This split indicates that prompt engineering can approximate rubrics when conventions are well represented in model priors, while professional grounding is essential for standards beyond those priors. FinProBench is built from 1,723 curated deliverables spanning 57 occupations, 8 financial sub-industries, and 161 deliverable types, and releases an initial evaluation set of 20 complete tasks covering 20 roles in 7 sub-industries. With heterogeneous LLM judges and role-level rubrics, human deliverables rank first on average (73.7 vs. 70.3, 70.2, and 69.6 out of 100), while all four systems show overlapping 95% confidence intervals and complementary strengths. Reusing rubrics at the role level reduces estimated per-task construction effort by 6.7 times relative to authoring each rubric from scratch.

cs.AI↗
arXiv2026

FinPerMA: A Theory-Informed, Event-Grounded Personalized-Memory Benchmark for LLM Agents

Large language model (LLM) agents are increasingly used as personalized assistants in high-stakes domains such as financial advising, yet it remains unclear whether they can maintain and update an individualized user model over long horizons. Existing personalized-memory benchmarks primarily test factual retention or rely on weakly constrained model-generated trajectories, leaving event-driven preference adaptation underexplored. We introduce FinPerMA, an event-grounded benchmark that evaluates personalized memory against frozen longitudinal investor trajectories. Its generation pipeline combines deterministic, theory-informed impact rules, controlled LLM narration, and automated quality screening; a Post-Shock checkpoint isolates whether an agent has integrated a material event into its persistent user model. On 2,994 questions from 276 personas, seven frontier LLMs and up to seven memory configurations remain far from saturated: no full-context configuration exceeds approximately 0.47 overall accuracy or approximately 39% on multiple-choice questions. Attribution analysis shows that summary-based memory often preserves factual details while losing the preference signals needed for personalization; simple retrieval can therefore outperform purpose-built memory systems, with the gap widening after shocks.

cs.AI↗
arXiv2026

FinGuard: Detecting Financial Regulatory Non-Compliance in LLM Interactions

As large language models (LLMs) are increasingly deployed in financial services, a single non-compliant interaction can expose institutions to regulatory penalties and direct consumer harm. Existing guard models are built around general harm taxonomies and overlook violations grounded in specific financial regulations. We address this gap with a regulation-driven pipeline that operates directly on regulatory documents, inducing a financial compliance risk taxonomy and synthesizing grounded training data without any predefined violation categories. Instantiating the pipeline on Chinese financial regulations, we release \textbf{FinGuard-Bench}, to our knowledge the first benchmark for financial regulatory compliance detection, with expert-annotated labels at both the query and response levels. We further train \textbf{FinGuard}, a financial compliance detection model built on Qwen3-8B and trained on the regulation-grounded data via supervised fine-tuning and self-play reinforcement learning. On FinGuard-Bench, FinGuard substantially outperforms all baselines, including dedicated guard models and much larger general-purpose LLMs such as Qwen3.5-397B-A17B and GPT-5.1. Furthermore, FinGuard also preserves general safety capabilities and adapts to unseen institution-specific policies using policy documents alone. We will publicly release the code, prompts, and resources used in this work on GitHub.

cs.CL↗
arXiv2026

Benchmarking Large Vision-Language Models on CFMME: A Comprehensive Chinese Financial Multimodal Evaluation Dataset

The emergence of Large Vision-Language Models (LVLMs) has substantially expanded model capabilities beyond text-only understanding, enabling unified inference across both visual and textual modalities and supporting a broader range of real-world applications. To comprehensively evaluate the perception, understanding, reasoning, and cognition capabilities of LVLMs throughout the entire financial business workflow in Chinese contexts, we introduce CFMME, a novel Chinese financial multimodal evaluation benchmark. CFMME comprises 6,052 instances spanning from fundamental academic knowledge to complex real-world applications, covering eight primary financial image modalities and four core multimodal tasks. On CFMME, we conduct a thorough evaluation of representative LVLMs. The results show that the state-of-the-art model attains an overall accuracy of 66.11\% on the question answering task and an average score of 77.18 on the detection, recognition, and information extraction tasks, indicating substantial room for improvement in current LVLMs. In addition, we conduct detailed analyses of error causes, cross-modal capabilities, and multi-orientation settings, yielding valuable insights for future research. We hope that CFMME will spur further progress in LVLMs, especially by improving their performance on multiple multimodal tasks in the financial domain.

cs.CV↗
arXiv2026

ESC-Skills: Discovering and Self-Evolving Skills for Emotional Support Conversations

Existing emotional support conversation (ESC) systems mainly rely on end-to-end response generation or coarse strategy supervision, offering limited interpretability and little support for systematic skill improvement. We propose ESC-Skills, a skill-centric framework that discovers and self-evolves executable emotional support skills. We first model localized support interactions as Intervention Units (IUs), which capture state--action--outcome dynamics between seeker states, support interventions, and post-response emotional changes. Based on IUs extracted from both successful and failed ESC dialogues, we construct the ESC-Skills Bank, a repository of executable emotional support skills containing intervention guidance, applicability conditions, expected outcomes, and potential risks. To further improve robustness, we introduce a multi-profile self-evolutionary refinement framework in which an ESC agent interacts with diverse simulated seeker profiles under SAGE evaluation. The resulting interaction traces are analyzed to identify missing skills, unsafe interventions, and profile-specific failure patterns, which are then used to refine the Skills Bank through simulation-based verification. Experimental results demonstrate that ESC-Skills improves both response-level quality and dialogue-level emotional outcomes while providing more interpretable and controllable support behaviors. We will release the code, prompts, and ESC-Skills Bank at https://github.com/aliyun/qwen-dianjin.

cs.CL↗
arXiv2026

Modeling Multiple Support Strategies within a Single Turn for Emotional Support Conversations

Emotional Support Conversation (ESC) aims to assist individuals experiencing distress by generating empathetic and supportive dialogue. While prior work typically assumes that each supporter turn corresponds to a single strategy, real-world supportive communication often involves multiple strategies within a single utterance. In this paper, we revisit the ESC task by formulating it as multi-strategy utterance generation, where each utterance may contain one or more strategy-response pairs. We propose two generation methods: All-in-One, which predicts all strategy-response pairs in a single decoding step, and One-by-One, which iteratively generates strategy-response pairs until completion. Both methods are further enhanced with cognitive reasoning guided by reinforcement learning to improve strategy selection and response composition. We evaluate our models on the ESConv dataset under both utterance-level and dialogue-level settings. Experimental results show that our methods effectively model multi-strategy utterances and lead to improved supportive quality and dialogue success. To our knowledge, this work provides the first systematic empirical evidence that allowing multiple support strategies within a single utterance is both feasible and beneficial for emotional support conversations. All code and data will be publicly available at https://github.com/aliyun/qwen-dianjin.

cs.CL↗
arXiv2026

FinMCP-Bench: Benchmarking LLM Agents for Real-World Financial Tool Use under the Model Context Protocol

This paper introduces \textbf{FinMCP-Bench}, a novel benchmark for evaluating large language models (LLMs) in solving real-world financial problems through tool invocation of financial model context protocols. FinMCP-Bench contains 613 samples spanning 10 main scenarios and 33 sub-scenarios, featuring both real and synthetic user queries to ensure diversity and authenticity. It incorporates 65 real financial MCPs and three types of samples, single tool, multi-tool, and multi-turn, allowing evaluation of models across different levels of task complexity. Using this benchmark, we systematically assess a range of mainstream LLMs and propose metrics that explicitly measure tool invocation accuracy and reasoning capabilities. FinMCP-Bench provides a standardized, practical, and challenging testbed for advancing research on financial LLM agents.

cs.AI↗
arXiv2025

Evaluating, Synthesizing, and Enhancing for Customer Support Conversation

Effective customer support requires not only accurate problem solving but also structured and empathetic communication aligned with professional standards. However, existing dialogue datasets often lack strategic guidance, and real-world service data is difficult to access and annotate. To address this, we introduce the task of Customer Support Conversation (CSC), aimed at training customer service agents to respond using well-defined support strategies. We propose a structured CSC framework grounded in COPC guidelines, defining five conversational stages and twelve strategies to guide high-quality interactions. Based on this, we construct CSConv, an evaluation dataset of 1,855 real-world customer-agent conversations rewritten using LLMs to reflect deliberate strategy use, and annotated accordingly. Additionally, we develop a role-playing approach that simulates strategy-rich conversations using LLM-powered roles aligned with the CSC framework, resulting in the training dataset RoleCS. Experiments show that fine-tuning strong LLMs on RoleCS significantly improves their ability to generate high-quality, strategy-aligned responses on CSConv. Human evaluations further confirm gains in problem resolution. All code and data will be made publicly available at https://github.com/aliyun/qwen-dianjin.

cs.CL↗
arXiv2025

CARE: Cognitive-reasoning Augmented Reinforcement for Emotional Support Conversation

Emotional Support Conversation (ESC) plays a vital role in alleviating psychological stress and providing emotional value through dialogue. While recent studies have largely focused on data augmentation and synthetic corpus construction, they often overlook the deeper cognitive reasoning processes that underpin effective emotional support. To address this gap, we propose \textbf{CARE}, a novel framework that strengthens reasoning in ESC without relying on large-scale synthetic data. CARE leverages the original ESC training set to guide models in generating logically coherent and supportive responses, thereby explicitly enhancing cognitive reasoning. Building on this foundation, we further employ reinforcement learning to refine and reinforce the reasoning process. Experimental results demonstrate that CARE significantly improves both the logical soundness and supportive quality of responses, advancing the development of empathetic, cognitively robust, and human-like emotional support systems.

cs.CL↗
arXiv2025

Fin-PRM: A Domain-Specialized Process Reward Model for Financial Reasoning in Large Language Models

Process Reward Models (PRMs) supervise intermediate reasoning steps in large language models (LLMs), but existing PRMs are mainly trained on general-domain data and struggle with the structured, symbolic, and fact-sensitive nature of financial reasoning. Financial tasks require not only correct final answers but also verifiable intermediate steps grounded in domain knowledge. In this paper, we propose Fin-PRM, a domain-specialized, trajectory-aware PRM for financial reasoning that jointly models step-level correctness and trajectory-level coherence, producing binary supervision signals for both local and global reasoning quality. To support reliable supervision, we construct a high-quality financial reasoning dataset of 3K trajectories, where step- and trajectory-level labels are automatically derived from multi-source reward signals, including Monte Carlo rollouts, LLM-based evaluation, and explicit financial knowledge verification. Fin-PRM defines a unified ranking score that integrates step- and trajectory-level rewards, enabling consistent use across multiple settings. We evaluate Fin-PRM in three scenarios: (1) offline trajectory selection for supervised fine-tuning, (2) reward-guided Best-of-$N$ inference for test-time scaling, and (3) process-aware reward shaping for reinforcement learning. Experiments on financial reasoning benchmarks, including CFLUE and FinQA, show that Fin-PRM consistently outperforms general-purpose PRMs and strong baselines. Our project resources will be available at https://github.com/aliyun/qwen-dianjin.

cs.CL↗
arXiv2025

DianJin-OCR-R1: Enhancing OCR Capabilities via a Reasoning-and-Tool Interleaved Vision-Language Model

Recent advances in vision-language models (VLMs) have enabled end-to-end document parsing and understanding, achieving strong performance on diverse optical character recognition (OCR) tasks. However, VLMs are prone to generate words that do not exist in the input image due to over-reliance on language priors. By contrast, traditional OCR models, whose architectures are tailored for specific recognition tasks, often achieve stronger fine-grained visual perception with fewer hallucinations, but they typically lack the contextual semantic understanding and reasoning capabilities needed in more challenging cases. To bridge this gap, we propose DianJin-OCR-R1, a reasoning-enhanced framework for recognition that trains VLMs in a reasoning-and-tool interleaved paradigm. Our DianJin-OCR-R1 model first recognizes the content in the input image through its own OCR capabilities, and then calls other expert models for extra results as references. After that, it is guided to "look again" at the image and compare its own recognized content with other results to find errors or omissions. Finally, it integrates all available evidence to generate a more accurate output. This design empowers the model to learn how to implicitly re-focus on the visual input and effectively leverage the results of other expert models for better performance. We evaluate our DianJin-OCR-R1 model on ReST and OmniDocBench, where it consistently outperforms both its non-reasoning counterparts and expert models, demonstrating the effectiveness of our method.

cs.CV↗
arXiv2025

M$^3$FinMeeting: A Multilingual, Multi-Sector, and Multi-Task Financial Meeting Understanding Evaluation Dataset

Recent breakthroughs in large language models (LLMs) have led to the development of new benchmarks for evaluating their performance in the financial domain. However, current financial benchmarks often rely on news articles, earnings reports, or announcements, making it challenging to capture the real-world dynamics of financial meetings. To address this gap, we propose a novel benchmark called $\texttt{M$^3$FinMeeting}$, which is a multilingual, multi-sector, and multi-task dataset designed for financial meeting understanding. First, $\texttt{M$^3$FinMeeting}$ supports English, Chinese, and Japanese, enhancing comprehension of financial discussions in diverse linguistic contexts. Second, it encompasses various industry sectors defined by the Global Industry Classification Standard (GICS), ensuring that the benchmark spans a broad range of financial activities. Finally, $\texttt{M$^3$FinMeeting}$ includes three tasks: summarization, question-answer (QA) pair extraction, and question answering, facilitating a more realistic and comprehensive evaluation of understanding. Experimental results with seven popular LLMs reveal that even the most advanced long-context models have significant room for improvement, demonstrating the effectiveness of $\texttt{M$^3$FinMeeting}$ as a benchmark for assessing LLMs' financial meeting comprehension skills.

cs.CL↗
arXiv2025

DianJin-R1: Evaluating and Enhancing Financial Reasoning in Large Language Models

Effective reasoning remains a core challenge for large language models (LLMs) in the financial domain, where tasks often require domain-specific knowledge, precise numerical calculations, and strict adherence to compliance rules. We propose DianJin-R1, a reasoning-enhanced framework designed to address these challenges through reasoning-augmented supervision and reinforcement learning. Central to our approach is DianJin-R1-Data, a high-quality dataset constructed from CFLUE, FinQA, and a proprietary compliance corpus (Chinese Compliance Check, CCC), combining diverse financial reasoning scenarios with verified annotations. Our models, DianJin-R1-7B and DianJin-R1-32B, are fine-tuned from Qwen2.5-7B-Instruct and Qwen2.5-32B-Instruct using a structured format that generates both reasoning steps and final answers. To further refine reasoning quality, we apply Group Relative Policy Optimization (GRPO), a reinforcement learning method that incorporates dual reward signals: one encouraging structured outputs and another rewarding answer correctness. We evaluate our models on five benchmarks: three financial datasets (CFLUE, FinQA, and CCC) and two general reasoning benchmarks (MATH-500 and GPQA-Diamond). Experimental results show that DianJin-R1 models consistently outperform their non-reasoning counterparts, especially on complex financial tasks. Moreover, on the real-world CCC dataset, our single-call reasoning models match or even surpass the performance of multi-agent systems that require significantly more computational cost. These findings demonstrate the effectiveness of DianJin-R1 in enhancing financial reasoning through structured supervision and reward-aligned learning, offering a scalable and practical solution for real-world applications.

cs.AI↗
arXiv2025

Speech Translation Refinement using Large Language Models

Recent advancements in large language models (LLMs) have demonstrated their remarkable capabilities across various language tasks. Inspired by the success of text-to-text translation refinement, this paper investigates how LLMs can improve the performance of speech translation by introducing a joint refinement process. Through the joint refinement of speech translation (ST) and automatic speech recognition (ASR) transcription via LLMs, the performance of the ST model is significantly improved in both training-free in-context learning and parameter-efficient fine-tuning scenarios. Additionally, we explore the effect of document-level context on refinement under the context-aware fine-tuning scenario. Experimental results on the MuST-C and CoVoST 2 datasets, which include seven translation tasks, demonstrate the effectiveness of the proposed approach using several popular LLMs including GPT-3.5-turbo, LLaMA3-8B, and Mistral-12B. Further analysis further suggests that jointly refining both transcription and translation yields better performance compared to refining translation alone. Meanwhile, incorporating document-level context significantly enhances refinement performance. We release our code and datasets on GitHub.

cs.CL↗
arXiv2024

Benchmarking Large Language Models on CFLUE -- A Chinese Financial Language Understanding Evaluation Dataset

In light of recent breakthroughs in large language models (LLMs) that have revolutionized natural language processing (NLP), there is an urgent need for new benchmarks to keep pace with the fast development of LLMs. In this paper, we propose CFLUE, the Chinese Financial Language Understanding Evaluation benchmark, designed to assess the capability of LLMs across various dimensions. Specifically, CFLUE provides datasets tailored for both knowledge assessment and application assessment. In knowledge assessment, it consists of 38K+ multiple-choice questions with associated solution explanations. These questions serve dual purposes: answer prediction and question reasoning. In application assessment, CFLUE features 16K+ test instances across distinct groups of NLP tasks such as text classification, machine translation, relation extraction, reading comprehension, and text generation. Upon CFLUE, we conduct a thorough evaluation of representative LLMs. The results reveal that only GPT-4 and GPT-4-turbo achieve an accuracy exceeding 60\% in answer prediction for knowledge assessment, suggesting that there is still substantial room for improvement in current LLMs. In application assessment, although GPT-4 and GPT-4-turbo are the top two performers, their considerable advantage over lightweight LLMs is noticeably diminished. The datasets and scripts associated with CFLUE are openly accessible at https://github.com/aliyun/cflue.

cs.CL↗