LLM Financial Institution AML/KYC Compliance and Loan/Investment Document Automation

This workflow automates the processing of financial documents, including loans, investments, and compliance reports, ensuring AML/KYC and PCI DSS compliance using OpenAI. Key nodes include Webhook for secure uploads, Condition for security validation, Switch for document classification, Agent for AI analysis, HTTP Request for client/credit verification, Set for metadata, and Webhook Response for structured outputs. To set up, install n8n from n8n.io for self-hosting or sign up at cloud.n8n.io. Obtain an OpenAI API key from platform.openai.com, financial institution API credentials from your bank’s developer portal, and credit bureau API keys from providers like Experian. Add these under Credentials > Add Credential > OpenAI API and HTTP Header Auth. Import the workflow JSON via Workflows > Import. Configure the Webhook node with path /financial-document-upload, set to POST, and add CORS headers (Access-Control-Allow-Origin: *). Use ngrok for local webhook testing to expose the URL. Ensure HTTPS for PCI DSS compliance. Test by sending a POST request to the webhook with JSON containing document content, clientId (8-20 alphanumeric characters), and documentType (e.g., loan_application). Include headers x-api-key, x-financial-authorization, and x-pci-compliant. Verify Condition nodes check API key, authorization, content size (<50MB), and HTTPS. Switch node routes to Agent nodes for analysis (e.g., loan processing). HTTP Request nodes verify client and credit data. Webhook Response returns JSON with analysis, compliance, and metadata. Handle errors like missing API keys (401 response with 'FINANCIAL_SECURITY_VALIDATION_FAILED') or invalid clientId/documentType (400 response with 'INVALID_FINANCIAL_INPUT'). Deploy by saving and enabling the workflow, ensuring webhooks are active. Validate outputs in Set nodes for AML/KYC compliance and processing summary in Webhook Response. For issues, confirm API credentials, HTTPS usage, and a valid client ID format. Test with sample data (e.g., loan application with clientId 'CLI123456789') to ensure analysis includes borrower assessment, compliance, and recommendations.