N. Shroff
Publications
Provable Last-Iterate Convergence for Multi-Objective Safe LLM Alignment via Optimistic Primal-Dual
Reinforcement Learning from Human Feedback (RLHF) plays a significant role in aligning Large Language Models (LLMs) with human preferences. While RLHF with expected reward constraints can be formulated as a primal-dual optimization problem, standard primal-dual methods only guarantee convergence with a distributional policy where the saddle-point problem is in convex-concave form. Moreover, standard primal-dual methods may exhibit instability or divergence in the last iterate under policy parameterization in practical applications. In this work, we propose a universal primal-dual framework for safe RLHF that unifies a broad class of existing alignment algorithms, including safe-RLHF, one-shot, and multi-shot based methods. Building on this framework, we introduce an optimistic primal-dual (OPD) algorithm that incorporates predictive updates for both primal and dual variables to stabilize saddle-point dynamics. We establish last-iterate convergence guarantees for the proposed method, covering both exact policy optimization in the distributional space and convergence to a neighborhood of the optimal solution whose gap is related to approximation error and bias under parameterized policies. Our analysis reveals that optimism plays a crucial role in mitigating oscillations inherent to constrained alignment objectives, thereby closing a key theoretical gap between constrained RL and practical RLHF.
Learnable Chernoff Baselines for Inference-Time Alignment
We study inference-time reward-guided alignment for generative models. Existing methods often rely on either architecture-specific adaptations or computationally costly inference procedures. We introduce Learnable Chernoff Baselines (LCBs) as a method for efficiently and approximately sampling from the exponentially tilted kernels that arise from KL-regularized reward alignment. Using only black-box sampling access to the pretrained model, LCBs implement a form of rejection sampling with adaptively selected acceptance probabilities, which allows fine-grained control over inference-compute scaling. We establish total-variation guarantees to the ideal aligned model, and demonstrate in both continuous and discrete diffusion settings that LCB sampling closely matches ideal rejection sampling while using substantially fewer queries to the pretrained model.