Compliance Checker for Fintech
An AI agent that handles compliance checks for legal / compliance teams in fintech businesses. Triggered by manual trigger, it classifies and categorises, extracts structured data, generates a checklist, with human approval on every output.
Compliance failures are expensive. Preventing them shouldn't be. This agent runs automated checks against regulatory requirements, flags gaps, and generates corrective action plans before auditors find the issues.
Ideal For
- Legal counsel
- Compliance officers
- Contract managers
- Teams in fintech
Data Sources
- Internal knowledge base
- Database / Data warehouse
- Shared drive (Google Drive, OneDrive)
Trigger
Workflow starts when: Manual trigger
Collect Data
Retrieve data from: Internal knowledge base, Database / Data warehouse, Shared drive (Google Drive, OneDrive)
Classify / Categorize
Perform: classify / categorize on the collected data
Extract structured data
Perform: extract structured data on the collected data
Generate checklist
Perform: generate checklist on the collected data
Escalate to human
Perform: escalate to human on the collected data
Human Review
Human approval: Always approve final output
Complete & Log
Log activity, update records, and close the workflow
If: Process step violates a known regulation
Then: Halt process and raise compliance flag
If: Compliance certificate is expiring within 30 days
Then: Send renewal reminder to responsible party
If: Audit finds a documentation gap
Then: Create corrective action task with deadline
If: New regulation is relevant to the organization
Then: Generate impact assessment and notify compliance officer
If: Action involves financial data or PII
Then: Require manager approval before proceeding
Never expose API keys or credentials in outputs
Only perform actions within defined workflow scope
Be concise and action-oriented
Log all actions for audit trail
Mask PII in logs and outputs
Require explicit approval for irreversible actions
Never send external communications without approval
- If a regulation reference cannot be verified, pause the check and request manual confirmation
- If multiple violations are found in one process, bundle into a single corrective action plan
- If no human response within 4 hours, send reminder and escalate to backup
- If error occurs with sensitive data, halt workflow and alert security team
- Log all exceptions with full audit trail for compliance
- Tasks processed per day
- Error/failure rate
- Compliance pass rate
- Issue detection rate
- Time to remediation
- Human intervention rate
System Prompt
You are a Legal / Compliance AI assistant specialized in compliance checks. ## Your Role You help legal / compliance teams by automating compliance checks tasks. Your communication style is direct. ## Capabilities You can: classify / categorize, extract structured data, generate checklist, escalate to human. ## Guidelines - Always be accurate and verify data before acting - Flag uncertain cases for human review - Maintain professional tone - Never make promises or commitments on behalf of the organization - Respect data privacy and confidentiality - Log all significant actions for audit purposes ## Constraints - Only access data sources explicitly provided - Do not perform actions outside your defined scope - Escalate edge cases rather than guessing - Require approval for all external communications - Apply strict data handling protocols
Starter User Prompt
Process this manual trigger: [INSERT DATA HERE] Perform compliance checks according to your guidelines. Provide: 1. Classification/analysis 2. Recommended action 3. Draft output (if applicable) 4. Any flags or concerns
Handoff Prompt
This task requires human attention. Here is what I have processed: ## Summary [Brief description of what was done] ## Analysis [Key findings and classification] ## Recommended Action [What should happen next] ## My Concerns [Any flags, uncertainties, or edge cases] Please review and respond when available. Please review and advise how to proceed.
# Compliance Checker - Standard Operating Procedure ## Purpose This SOP defines how the Compliance Checker operates within the organization. ## Trigger Manual trigger ## Data Sources - Internal knowledge base - Database / Data warehouse - Shared drive (Google Drive, OneDrive) ## Process Steps 1. Classify / Categorize 2. Extract structured data 3. Generate checklist 4. Escalate to human ## Human Oversight Always approve final output ## Escalation Path 1. Agent flags issue 2. Notification sent to assigned reviewer 3. If no response in 4 hours, escalate to backup 4. Log all escalations ## Review Schedule Monthly review of agent performance and rules
- 1Define access credentials for all data sources
- 2Set up automation platform (n8n/Zapier)
- 3Configure AI API access (OpenAI/Claude)
- 4Create trigger workflow
- 5Connect input data sources
- 6Implement classify / categorize step
- 7Implement extract structured data step
- 8Implement generate checklist step
- 9Implement escalate to human step
- 10Configure human review/approval workflow
- 11Set up notification channels for reviews
- 12Test with sample data
- 13Configure error handling and alerts
- 14Set up logging and monitoring
- 15Document and train team
- 16Deploy to production
- 17Schedule first review
n8n Workflow
## n8n Workflow Outline ### Trigger Node - Type: Manual trigger - Configuration: Set up webhook/schedule/email trigger ### Input Nodes - Internal knowledge base: HTTP Request or native integration node - Database / Data warehouse: HTTP Request or native integration node - Shared drive (Google Drive, OneDrive): HTTP Request or native integration node ### Processing Nodes 1. OpenAI Node: Classify / Categorize 2. OpenAI Node: Extract structured data 3. Function/HTTP Node: Generate checklist 4. Function/HTTP Node: Escalate to human ### Approval Node - Wait Node with Slack/Email notification - Resume on approval webhook ### Output Nodes - Update destination systems - Send notifications - Log activity
Zapier Zap
## Zapier Workflow Outline ### Trigger (Zap starts when...) - Manual trigger ### Data Lookup Steps - Search/Lookup in Internal knowledge base - Search/Lookup in Database / Data warehouse - Search/Lookup in Shared drive (Google Drive, OneDrive) ### Action Steps 1. ChatGPT by Zapier: Classify / Categorize 2. ChatGPT by Zapier: Extract structured data 3. App Action: Generate checklist 4. App Action: Escalate to human ### Approval Path - Use Paths or Delay Until to pause for approval - Send notification via Slack/Email ### Final Actions - Update records - Send completion notification
Example Use Cases
- •Run automated regulatory compliance scans against documented processes
- •Generate corrective action plans for identified violations
- •Track compliance certificate expiry dates and send renewal reminders
Tools Needed
Frequently Asked Questions
What does the Compliance Checker do?
An AI agent that handles compliance checks for legal / compliance teams in fintech businesses. Triggered by manual trigger, it classifies and categorises, extracts structured data, generates a checklist, with human approval on every output.
What tools do I need to implement this?
You'll need n8n or Zapier (workflow automation), OpenAI API or Claude API (AI processing), Google Drive, OneDrive. Most implementations use n8n or Zapier as the workflow automation layer.
How long does implementation take?
A basic implementation typically takes 1-2 days for simple workflows, or 1-2 weeks for complex integrations with multiple data sources.
How do I handle errors and edge cases?
The blueprint includes exception handling rules and escalation paths. Configure alerts for failures and set confidence thresholds for human review.
What level of technical skill is needed?
Basic familiarity with workflow automation tools (Zapier/n8n) is helpful. No coding is required for most implementations, though API integration experience helps for advanced setups.
Best For
- •You have frequent compliance checks tasks
- •The process follows clear, repeatable rules
- •Current manual handling creates delays or errors
- •Team capacity is stretched on routine work
Not Ideal For
- •Tasks require complex judgment or creativity
- •Volume is too low to justify setup time
- •Rules change frequently and unpredictably
- •Data quality is poor or inconsistent
Review Before Launch
- All integrations tested with real credentials
- Error handling and retry logic configured
- Notification channels set up for alerts
- Team trained on reviewing exceptions
- KPI dashboard configured
- Rollback plan documented
Ready to implement your Compliance Checker? Use this blueprint to guide your setup in n8n, Zapier, or your preferred automation platform.
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