GPT-4o Compliance Risk Summary for Advisor Notes in n8n

Get a GPT-4o compliance risk summary from advisor notes—automatically

This n8n workflow ingests portfolio advisor meeting notes via a webhook, uses OpenAI GPT-4o to produce a structured summary and compliance-risk assessment, logs an audit trail to Google Sheets, and sends targeted follow-up notifications through Gmail and Telegram for high-risk items.

What this workflow does

• Receives webhook submissions (POST) containing client details, advisor details, meeting notes, and the advisor’s risk tolerance on file.
• Normalizes inputs and adds a submission timestamp for consistent downstream processing.
• Generates a structured GPT-4o output: summary, flagged compliance issues, recommended follow-up actions, and a complianceRisk classification (high/medium/low).
• Appends results to Google Sheets as an audit log, including timestamp, risk level, and flags in the Portfolio Reviews tab.
• Routes by complianceRisk using a switch:
  • Medium/low outcomes are emailed to the advisor via Gmail.
  • High-risk outcomes are escalated via Gmail and Telegram.

Use cases

• Turn manually captured advisor meeting notes into standardized complianceRisk summaries for faster review.
• Automate audit logging of every GPT-4o assessment to Google Sheets for traceability.
• Escalate high complianceRisk cases immediately to a Telegram channel while keeping routine cases email-only.

Technical details

• n8n nodes/integrations: webhook, set, sticky note, switch, OpenAI (GPT-4o), Google Sheets, gmail, telegram.
• Setup requires: OpenAI API credentials for GPT-4o, Google Sheets connection (sheet/tab named Portfolio Reviews), Gmail credentials, and Telegram bot credentials (chat ID for high-risk channel).