FinTech SaaS companies face some of the most demanding compliance obligations in software: PCI DSS v4.0, SOX Section 302/404, GLBA Safeguards Rule, SEC Regulation SCI, and FINRA Rule 4370. Each one has hard deadlines, evidence requirements, and incident notification clocks that can't slip.
The quiet problem? Most automation teams use Zapier or Make.com to wire up compliance workflows — and that creates a second compliance problem. Routing cardholder data through a cloud iPaaS expands your PCI DSS CDE scope. Sending SOX financial metrics to Zapier is an IT General Control gap that external auditors will flag. Running NPI data through Make.com's EU servers may trigger GLBA cross-border transfer requirements.
Self-hosted n8n solves this cleanly: compliance data stays inside your infrastructure, git-versioned JSON workflows become SOX evidence artifacts, and your QSA/auditor sees a defensible control environment.
Here are 5 production-ready workflows — with full import-ready JSON — covering the critical FinTech compliance automation use cases.
Workflow 1: PCI DSS v4.0 Compliance Deadline Tracker
Tracks all PCI DSS v4.0 requirement deadlines: quarterly ASV scans, annual SAQ submissions, penetration testing schedules, AOC renewals, and internal assessment milestones. Routes OVERDUE/CRITICAL through Slack to the security team and emails control owners directly.
Google Sheets columns: requirement_id, pci_dss_req_id (e.g. 6.4.3, 11.3.1), requirement_name, deadline_date, merchant_level, qsa_contact, control_owner_email, control_owner_name, required_action, alert_sent_date
{
"name": "PCI DSS v4.0 Compliance Deadline Tracker",
"nodes": [
{
"parameters": {
"rule": {
"interval": [
{
"field": "cronExpression",
"expression": "0 8 * * 1-5"
}
]
}
},
"name": "Weekdays 8AM",
"type": "n8n-nodes-base.scheduleTrigger",
"typeVersion": 1.1,
"position": [
240,
300
]
},
{
"parameters": {
"documentId": "YOUR_SHEET_ID",
"sheetName": "pci_deadlines",
"operation": "getAll",
"options": {}
},
"name": "Read PCI Deadlines",
"type": "n8n-nodes-base.googleSheets",
"typeVersion": 4,
"position": [
460,
300
]
},
{
"parameters": {
"jsCode": "const today = new Date();\nconst items = [];\nfor (const row of $input.all()) {\n const d = row.json;\n const deadline = new Date(d.deadline_date);\n const daysLeft = Math.ceil((deadline - today) / 86400000);\n const sentToday = d.alert_sent_date === today.toISOString().split('T')[0];\n if (sentToday) continue;\n let severity = null;\n if (daysLeft < 0) severity = 'OVERDUE';\n else if (daysLeft <= 14) severity = 'CRITICAL';\n else if (daysLeft <= 30) severity = 'URGENT';\n else if (daysLeft <= 60) severity = 'WARNING';\n else if (daysLeft <= 90) severity = 'NOTICE';\n if (severity) items.push({ json: { ...d, daysLeft, severity } });\n}\nreturn items;"
},
"name": "Classify Severity",
"type": "n8n-nodes-base.code",
"typeVersion": 2,
"position": [
680,
300
]
},
{
"parameters": {
"conditions": {
"options": {
"caseSensitive": true
},
"conditions": [
{
"leftValue": "={{ $json.severity }}",
"operator": {
"type": "string",
"operation": "equals"
},
"rightValue": "OVERDUE"
},
{
"leftValue": "={{ $json.severity }}",
"operator": {
"type": "string",
"operation": "equals"
},
"rightValue": "CRITICAL"
}
]
},
"combineOperation": "any"
},
"name": "OVERDUE or CRITICAL",
"type": "n8n-nodes-base.filter",
"typeVersion": 2,
"position": [
900,
220
]
},
{
"parameters": {
"channel": "#security-compliance",
"text": "=:rotating_light: *PCI DSS {{ $json.severity }}* \u2014 {{ $json.requirement_name }}\nDeadline: {{ $json.deadline_date }} ({{ $json.daysLeft >= 0 ? $json.daysLeft + ' days remaining' : 'OVERDUE by ' + Math.abs($json.daysLeft) + ' days' }})\nControl: {{ $json.pci_dss_req_id }} | QSA: {{ $json.qsa_contact }} | Merchant Level: {{ $json.merchant_level }}"
},
"name": "Slack Critical Alert",
"type": "n8n-nodes-base.slack",
"typeVersion": 2.2,
"position": [
1120,
220
]
},
{
"parameters": {
"fromEmail": "compliance@yourfintech.com",
"toEmail": "={{ $json.control_owner_email }}",
"subject": "=PCI DSS {{ $json.severity }}: {{ $json.requirement_name }} due {{ $json.deadline_date }}",
"emailType": "html",
"message": "=<p>Hi {{ $json.control_owner_name }},</p><p>PCI DSS requirement <strong>{{ $json.pci_dss_req_id }}</strong> \u2014 {{ $json.requirement_name }} \u2014 is <strong>{{ $json.severity }}</strong>.</p><p>Deadline: {{ $json.deadline_date }} ({{ $json.daysLeft >= 0 ? $json.daysLeft + ' days' : 'OVERDUE by ' + Math.abs($json.daysLeft) + ' days' }})</p><p>Required action: {{ $json.required_action }}</p><p>Contact your QSA ({{ $json.qsa_contact }}) if you need extension documentation.</p>"
},
"name": "Email Control Owner",
"type": "n8n-nodes-base.gmail",
"typeVersion": 2.1,
"position": [
1120,
380
]
},
{
"parameters": {
"documentId": "YOUR_SHEET_ID",
"sheetName": "pci_deadlines",
"operation": "update",
"filtersUI": {
"values": [
{
"lookupColumn": "requirement_id",
"lookupValue": "={{ $json.requirement_id }}"
}
]
},
"fieldsUi": {
"values": [
{
"fieldId": "alert_sent_date",
"fieldValue": "={{ new Date().toISOString().split('T')[0] }}"
}
]
}
},
"name": "Mark Alert Sent",
"type": "n8n-nodes-base.googleSheets",
"typeVersion": 4,
"position": [
1340,
300
]
}
],
"connections": {
"Weekdays 8AM": {
"main": [
[
{
"node": "Read PCI Deadlines",
"type": "main",
"index": 0
}
]
]
},
"Read PCI Deadlines": {
"main": [
[
{
"node": "Classify Severity",
"type": "main",
"index": 0
}
]
]
},
"Classify Severity": {
"main": [
[
{
"node": "OVERDUE or CRITICAL",
"type": "main",
"index": 0
},
{
"node": "Email Control Owner",
"type": "main",
"index": 0
}
]
]
},
"OVERDUE or CRITICAL": {
"main": [
[
{
"node": "Slack Critical Alert",
"type": "main",
"index": 0
}
]
]
},
"Email Control Owner": {
"main": [
[
{
"node": "Mark Alert Sent",
"type": "main",
"index": 0
}
]
]
}
}
}
Why self-hosted matters: Your QSA assessment scope includes all systems that touch cardholder data or compliance evidence. Routing PCI deadline alerts through Zapier's cloud makes Zapier an in-scope system — adding it to your next ROC.
Workflow 2: SOX ICFR Control Testing & Evidence Collection Reminder
Fires quarterly (1st of January, April, July, October) to remind control owners their Section 302/404 testing window is open. Deduplicates by quarter so it fires exactly once per control per quarter. Tracks testing status in Sheets for the external auditor.
Google Sheets columns: control_id, control_name, control_owner_email, control_owner_name, risk_rating, test_procedure, evidence_required, external_auditor, last_notified_quarter, testing_status, testing_result
{
"name": "SOX ICFR Control Testing & Evidence Collection Reminder",
"nodes": [
{
"parameters": {
"rule": {
"interval": [
{
"field": "cronExpression",
"expression": "0 9 1 1,4,7,10 *"
}
]
}
},
"name": "Quarterly 1st",
"type": "n8n-nodes-base.scheduleTrigger",
"typeVersion": 1.1,
"position": [
240,
300
]
},
{
"parameters": {
"documentId": "YOUR_SHEET_ID",
"sheetName": "sox_controls",
"operation": "getAll",
"options": {}
},
"name": "Read ICFR Controls",
"type": "n8n-nodes-base.googleSheets",
"typeVersion": 4,
"position": [
460,
300
]
},
{
"parameters": {
"jsCode": "const quarter = Math.floor((new Date().getMonth()) / 3) + 1;\nconst year = new Date().getFullYear();\nconst dueDate = new Date(year, quarter * 3, 15);\nconst items = [];\nfor (const row of $input.all()) {\n const c = row.json;\n const alreadyNotified = c.last_notified_quarter === `Q${quarter}-${year}`;\n if (alreadyNotified) continue;\n items.push({ json: { ...c, testing_quarter: `Q${quarter}-${year}`, evidence_due: dueDate.toISOString().split('T')[0], days_to_due: Math.ceil((dueDate - new Date()) / 86400000) } });\n}\nreturn items;"
},
"name": "Build Testing Tasks",
"type": "n8n-nodes-base.code",
"typeVersion": 2,
"position": [
680,
300
]
},
{
"parameters": {
"fromEmail": "sox-compliance@yourfintech.com",
"toEmail": "={{ $json.control_owner_email }}",
"subject": "=SOX Q{{ $json.testing_quarter }} Testing Due: {{ $json.control_name }} ({{ $json.control_id }})",
"emailType": "html",
"message": "=<p>Hi {{ $json.control_owner_name }},</p><p>SOX ICFR control testing for <strong>{{ $json.control_id }} \u2014 {{ $json.control_name }}</strong> is due for {{ $json.testing_quarter }}.</p><p><strong>Evidence due:</strong> {{ $json.evidence_due }} ({{ $json.days_to_due }} days)</p><p><strong>Test procedure:</strong> {{ $json.test_procedure }}</p><p><strong>Evidence required:</strong> {{ $json.evidence_required }}</p><p>Upload evidence to the SOX portal and mark this control as tested. The external auditor ({{ $json.external_auditor }}) will review during fieldwork.</p><p>Section 302/404 sign-off deadline: end of quarter.</p>"
},
"name": "Email Control Owner",
"type": "n8n-nodes-base.gmail",
"typeVersion": 2.1,
"position": [
900,
220
]
},
{
"parameters": {
"channel": "#sox-compliance",
"text": "=:ledger: *SOX {{ $json.testing_quarter }} Testing Started* \u2014 {{ $json.control_id }}: {{ $json.control_name }}\nOwner: {{ $json.control_owner_name }} | Risk Rating: {{ $json.risk_rating }} | Evidence due: {{ $json.evidence_due }}"
},
"name": "Slack SOX Channel",
"type": "n8n-nodes-base.slack",
"typeVersion": 2.2,
"position": [
900,
380
]
},
{
"parameters": {
"documentId": "YOUR_SHEET_ID",
"sheetName": "sox_controls",
"operation": "update",
"filtersUI": {
"values": [
{
"lookupColumn": "control_id",
"lookupValue": "={{ $json.control_id }}"
}
]
},
"fieldsUi": {
"values": [
{
"fieldId": "last_notified_quarter",
"fieldValue": "={{ $json.testing_quarter }}"
},
{
"fieldId": "testing_status",
"fieldValue": "IN_PROGRESS"
}
]
}
},
"name": "Update Status",
"type": "n8n-nodes-base.googleSheets",
"typeVersion": 4,
"position": [
1120,
300
]
}
],
"connections": {
"Quarterly 1st": {
"main": [
[
{
"node": "Read ICFR Controls",
"type": "main",
"index": 0
}
]
]
},
"Read ICFR Controls": {
"main": [
[
{
"node": "Build Testing Tasks",
"type": "main",
"index": 0
}
]
]
},
"Build Testing Tasks": {
"main": [
[
{
"node": "Email Control Owner",
"type": "main",
"index": 0
},
{
"node": "Slack SOX Channel",
"type": "main",
"index": 0
}
]
]
},
"Email Control Owner": {
"main": [
[
{
"node": "Update Status",
"type": "main",
"index": 0
}
]
]
},
"Slack SOX Channel": {
"main": [
[
{
"node": "Update Status",
"type": "main",
"index": 0
}
]
]
}
}
}
The SOX audit trail angle: Auditors (PCAOB AS 2201) require documented evidence that IT controls exist and operate effectively. Self-hosted n8n's git-versioned JSON = an automated control that produces its own evidence log. Your ITGC narrative writes itself.
Workflow 3: GLBA Safeguards Rule & NPI Breach Incident Response Pipeline
Webhook-triggered by your data loss prevention (DLP) or SIEM system. Classifies the non-public personal information (NPI) type (SSN, account numbers, card numbers, income data, transaction history), calculates the FTC Safeguards Rule 30-day notification deadline and the most restrictive state AG deadline, and immediately alerts DPO + legal.
{
"name": "GLBA Safeguards Rule & NPI Breach Incident Response Pipeline",
"nodes": [
{
"parameters": {
"httpMethod": "POST",
"path": "glba-incident",
"responseMode": "responseNode",
"options": {}
},
"name": "GLBA Incident Webhook",
"type": "n8n-nodes-base.webhook",
"typeVersion": 2,
"position": [
240,
300
]
},
{
"parameters": {
"jsCode": "const inc = $json.body || $json;\nconst npiTypes = { 'SSN': 'CRITICAL', 'ACCOUNT_NUMBER': 'CRITICAL', 'ROUTING_NUMBER': 'HIGH', 'CARD_NUMBER': 'CRITICAL', 'CREDIT_REPORT': 'HIGH', 'INCOME_DATA': 'HIGH', 'TRANSACTION_HISTORY': 'HIGH', 'PASSWORD': 'CRITICAL' };\nconst severity = npiTypes[inc.data_type] || 'MEDIUM';\nconst now = new Date();\n// GLBA/Safeguards: notify FTC within 30 days; state AGs vary 3-30 days\n// Updated FTC Safeguards Rule 2023: notification required for >=500 customers\nconst ftcDeadline = new Date(now.getTime() + 30 * 86400000);\nconst stateDeadline = new Date(now.getTime() + 3 * 86400000); // most restrictive\nreturn [{ json: { ...inc, severity, ftc_notification_deadline: ftcDeadline.toISOString().split('T')[0], state_ag_deadline: stateDeadline.toISOString().split('T')[0], incident_id: 'GLBA-' + Date.now(), detected_at: now.toISOString() } }];"
},
"name": "Classify NPI Incident",
"type": "n8n-nodes-base.code",
"typeVersion": 2,
"position": [
460,
300
]
},
{
"parameters": {
"channel": "#legal-privacy",
"text": "=:warning: *GLBA NPI {{ $json.severity }} Incident* \u2014 {{ $json.incident_id }}\nData Type: {{ $json.data_type }} | Customers Affected: {{ $json.customers_affected }}\nFTC Notification Deadline: {{ $json.ftc_notification_deadline }} (30 days)\nState AG Deadline: {{ $json.state_ag_deadline }} (most restrictive state)\nIncident Source: {{ $json.source_system }} | Detected: {{ $json.detected_at }}\nAction Required: Engage DPO, legal counsel, and initiate breach assessment now."
},
"name": "Slack Legal Alert",
"type": "n8n-nodes-base.slack",
"typeVersion": 2.2,
"position": [
680,
220
]
},
{
"parameters": {
"fromEmail": "privacy@yourfintech.com",
"toEmail": "dpo@yourfintech.com",
"cc": "legal@yourfintech.com",
"subject": "=[GLBA INCIDENT] {{ $json.severity }}: {{ $json.data_type }} exposure \u2014 {{ $json.customers_affected }} customers \u2014 Action Required",
"emailType": "html",
"message": "=<p><strong>GLBA Safeguards Rule Incident Detected</strong></p><p>Incident ID: {{ $json.incident_id }}<br>Severity: {{ $json.severity }}<br>Data Type: {{ $json.data_type }} (Non-Public Personal Information)<br>Customers Affected: {{ $json.customers_affected }}<br>Source System: {{ $json.source_system }}<br>Detected: {{ $json.detected_at }}</p><p><strong>Regulatory Deadlines:</strong><br>FTC Safeguards Rule (16 CFR Part 314): Notify FTC by {{ $json.ftc_notification_deadline }} if \u2265500 customers<br>State AG: {{ $json.state_ag_deadline }} (most restrictive \u2014 verify your states)</p><p><strong>Required Actions:</strong><ol><li>Contain the incident immediately</li><li>Document evidence chain for FTC submission</li><li>Assess state notification requirements (NY SHIELD, CA CCPA, etc.)</li><li>Review GLBA Information Security Program (\u00a7314.4)</li></ol></p>"
},
"name": "Email DPO + Legal",
"type": "n8n-nodes-base.gmail",
"typeVersion": 2.1,
"position": [
680,
380
]
},
{
"parameters": {
"respondWith": "json",
"responseBody": "={{ JSON.stringify({ status: 'received', incident_id: $json.incident_id }) }}"
},
"name": "Respond OK",
"type": "n8n-nodes-base.respondToWebhook",
"typeVersion": 1.1,
"position": [
900,
300
]
}
],
"connections": {
"GLBA Incident Webhook": {
"main": [
[
{
"node": "Classify NPI Incident",
"type": "main",
"index": 0
}
]
]
},
"Classify NPI Incident": {
"main": [
[
{
"node": "Slack Legal Alert",
"type": "main",
"index": 0
},
{
"node": "Email DPO + Legal",
"type": "main",
"index": 0
},
{
"node": "Respond OK",
"type": "main",
"index": 0
}
]
]
}
}
}
GLBA 2023 update: The updated FTC Safeguards Rule (effective May 2023) requires notification to the FTC within 30 days if a breach affects 500 or more customers. State laws (NY SHIELD Act, CA CCPA, etc.) often have shorter windows — as few as 3 days. This workflow calculates both.
Workflow 4: SEC Reg SCI & FINRA Operational Status Monitor
Polls your SCI-covered systems every 5 minutes. Uses $getWorkflowStaticData to detect state transitions (OPERATIONAL → DOWN/DEGRADED/INTRUSION) without re-alerting on persistent outages. When a systems disruption or intrusion is detected, it starts the SEC 24-hour notification clock (Reg SCI Rule 1002(b)) and alerts your CCO and legal team.
Google Sheets columns: system_id, system_name, health_endpoint, system_type (SCI_SYSTEM, SCI_INDIRECT_SYSTEM), criticality
{
"name": "SEC Reg SCI & FINRA Operational Status Monitor",
"nodes": [
{
"parameters": {
"rule": {
"interval": [
{
"field": "cronExpression",
"expression": "*/5 * * * *"
}
]
}
},
"name": "Every 5 Min",
"type": "n8n-nodes-base.scheduleTrigger",
"typeVersion": 1.1,
"position": [
240,
300
]
},
{
"parameters": {
"documentId": "YOUR_SHEET_ID",
"sheetName": "sci_systems",
"operation": "getAll",
"options": {}
},
"name": "Read SCI Systems",
"type": "n8n-nodes-base.googleSheets",
"typeVersion": 4,
"position": [
460,
300
]
},
{
"parameters": {
"url": "={{ $json.health_endpoint }}",
"options": {
"timeout": 10000
}
},
"name": "Poll System Health",
"type": "n8n-nodes-base.httpRequest",
"typeVersion": 4.2,
"position": [
680,
300
]
},
{
"parameters": {
"jsCode": "const result = $json;\nconst system = $('Read SCI Systems').item.json;\nconst prevState = $getWorkflowStaticData('global');\nconst key = `state_${system.system_id}`;\nconst prev = prevState[key] || 'OPERATIONAL';\nconst status = result.status || (result.statusCode >= 500 ? 'DOWN' : 'OPERATIONAL');\nlet eventType = null;\n// SEC Reg SCI Rule 1001: report systems disruptions/intrusions within 24 hours\nif (status !== 'OPERATIONAL' && prev === 'OPERATIONAL') {\n if (status === 'DOWN' || status === 'DEGRADED') eventType = 'SYSTEMS_DISRUPTION';\n if (status === 'INTRUSION') eventType = 'SYSTEMS_INTRUSION';\n} else if (status === 'SCA_CHANGE') {\n eventType = 'SCA_CHANGE'; // material systems change \u2014 prior notice required\n}\nprevState[key] = status;\n$setWorkflowStaticData('global', prevState);\nif (!eventType) return [];\nconst reportDeadline = new Date(Date.now() + 24 * 3600000);\nreturn [{ json: { ...system, status, eventType, prev_state: prev, report_deadline: reportDeadline.toISOString(), detected_at: new Date().toISOString() } }];"
},
"name": "Detect SCI Event",
"type": "n8n-nodes-base.code",
"typeVersion": 2,
"position": [
900,
300
]
},
{
"parameters": {
"channel": "#ops-regulatory",
"text": "=:red_circle: *SEC Reg SCI {{ $json.eventType }}* \u2014 {{ $json.system_name }}\nStatus: {{ $json.status }} (was {{ $json.prev_state }})\nDetected: {{ $json.detected_at }}\nSEC 24h Report Deadline: {{ $json.report_deadline }}\nRule: Reg SCI Rule 1002(b) \u2014 Notify SEC Operations within 24 hours.\nFINRA: Check Rule 4370 BCP activation criteria."
},
"name": "Slack Ops Alert",
"type": "n8n-nodes-base.slack",
"typeVersion": 2.2,
"position": [
1120,
220
]
},
{
"parameters": {
"fromEmail": "compliance@yourfintech.com",
"toEmail": "cco@yourfintech.com",
"cc": "legal@yourfintech.com",
"subject": "=[SEC Reg SCI] {{ $json.eventType }}: {{ $json.system_name }} \u2014 24h notification clock started",
"emailType": "html",
"message": "=<p><strong>SEC Regulation SCI Event Detected</strong></p><p>System: {{ $json.system_name }} ({{ $json.system_id }})<br>Event Type: {{ $json.eventType }}<br>Status Change: {{ $json.prev_state }} \u2192 {{ $json.status }}<br>Detected: {{ $json.detected_at }}<br>SEC Notification Deadline: {{ $json.report_deadline }}</p><p><strong>Required Actions (Reg SCI Rule 1002(b)):</strong><ol><li>Assess impact on SCI systems and SCI indirect systems</li><li>Notify SEC Operations within 24 hours via email to: SCIIncident@sec.gov</li><li>Submit written report within specified timeframe</li><li>FINRA Rule 4370: assess BCP activation criteria</li></ol></p><p>Do not use Zapier or cloud iPaaS to route this notification \u2014 all SCI incident data must stay in-enclave.</p>"
},
"name": "Email CCO + Legal",
"type": "n8n-nodes-base.gmail",
"typeVersion": 2.1,
"position": [
1120,
380
]
}
],
"connections": {
"Every 5 Min": {
"main": [
[
{
"node": "Read SCI Systems",
"type": "main",
"index": 0
}
]
]
},
"Read SCI Systems": {
"main": [
[
{
"node": "Poll System Health",
"type": "main",
"index": 0
}
]
]
},
"Poll System Health": {
"main": [
[
{
"node": "Detect SCI Event",
"type": "main",
"index": 0
}
]
]
},
"Detect SCI Event": {
"main": [
[
{
"node": "Slack Ops Alert",
"type": "main",
"index": 0
},
{
"node": "Email CCO + Legal",
"type": "main",
"index": 0
}
]
]
}
}
}
Reg SCI scope: Applies to SCI entities (national securities exchanges, registered clearing agencies, alternative trading systems with >5% volume, plan processors, exempt clearing agencies). If you operate an ATS or clearing function, this workflow replaces manual monitoring that almost always misses the 24h window.
Workflow 5: Weekly FinTech Compliance KPI Dashboard
Every Monday at 8AM, aggregates PCI DSS and SOX data from Sheets, builds an HTML compliance dashboard, and emails it to CEO/CFO with CISO on BCC. One email = the full compliance posture picture before the week starts.
{
"name": "Weekly FinTech Compliance KPI Dashboard",
"nodes": [
{
"parameters": {
"rule": {
"interval": [
{
"field": "cronExpression",
"expression": "0 8 * * 1"
}
]
}
},
"name": "Monday 8AM",
"type": "n8n-nodes-base.scheduleTrigger",
"typeVersion": 1.1,
"position": [
240,
300
]
},
{
"parameters": {
"documentId": "YOUR_SHEET_ID",
"sheetName": "pci_deadlines",
"operation": "getAll",
"options": {}
},
"name": "Read PCI Data",
"type": "n8n-nodes-base.googleSheets",
"typeVersion": 4,
"position": [
460,
220
]
},
{
"parameters": {
"documentId": "YOUR_SHEET_ID",
"sheetName": "sox_controls",
"operation": "getAll",
"options": {}
},
"name": "Read SOX Data",
"type": "n8n-nodes-base.googleSheets",
"typeVersion": 4,
"position": [
460,
380
]
},
{
"parameters": {
"mode": "combine",
"combinationMode": "multiplex",
"options": {}
},
"name": "Merge Compliance Data",
"type": "n8n-nodes-base.merge",
"typeVersion": 3,
"position": [
680,
300
]
},
{
"parameters": {
"jsCode": "const allItems = $input.all();\nconst today = new Date();\n\n// PCI metrics\nconst pciItems = allItems.filter(i => i.json.pci_dss_req_id);\nconst pciOverdue = pciItems.filter(i => new Date(i.json.deadline_date) < today).length;\nconst pciCritical = pciItems.filter(i => { const d = Math.ceil((new Date(i.json.deadline_date) - today) / 86400000); return d >= 0 && d <= 30; }).length;\nconst pciOpenFindings = pciItems.filter(i => i.json.finding_status === 'OPEN').length;\n\n// SOX metrics\nconst soxItems = allItems.filter(i => i.json.control_id);\nconst soxNotTested = soxItems.filter(i => i.json.testing_status !== 'COMPLETED').length;\nconst soxExceptions = soxItems.filter(i => i.json.testing_result === 'EXCEPTION').length;\nconst soxHighRisk = soxItems.filter(i => i.json.risk_rating === 'HIGH').length;\n\nconst html = `\n<h2>Weekly FinTech Compliance KPI Dashboard</h2>\n<p><em>${today.toDateString()}</em></p>\n<h3>PCI DSS v4.0</h3>\n<table border='1' cellpadding='6' style='border-collapse:collapse'>\n <tr><th>Metric</th><th>Count</th><th>Status</th></tr>\n <tr><td>Overdue Requirements</td><td>${pciOverdue}</td><td style='color:${pciOverdue > 0 ? 'red' : 'green'}'>${pciOverdue > 0 ? 'ACTION REQUIRED' : 'OK'}</td></tr>\n <tr><td>Critical (\u226430 days)</td><td>${pciCritical}</td><td style='color:${pciCritical > 2 ? 'orange' : 'green'}'>${pciCritical > 2 ? 'REVIEW' : 'OK'}</td></tr>\n <tr><td>Open Findings</td><td>${pciOpenFindings}</td><td>${pciOpenFindings > 0 ? 'REMEDIATE' : 'OK'}</td></tr>\n</table>\n<h3>SOX ICFR</h3>\n<table border='1' cellpadding='6' style='border-collapse:collapse'>\n <tr><th>Metric</th><th>Count</th><th>Status</th></tr>\n <tr><td>Controls Not Yet Tested</td><td>${soxNotTested}</td><td style='color:${soxNotTested > 5 ? 'orange' : 'green'}'>${soxNotTested > 5 ? 'BEHIND SCHEDULE' : 'ON TRACK'}</td></tr>\n <tr><td>Exceptions This Quarter</td><td>${soxExceptions}</td><td style='color:${soxExceptions > 0 ? 'red' : 'green'}'>${soxExceptions > 0 ? 'ESCALATE TO CFO' : 'CLEAN'}</td></tr>\n <tr><td>High-Risk Controls</td><td>${soxHighRisk}</td><td>Monitor</td></tr>\n</table>\n<hr><p style='font-size:12px'>Powered by self-hosted n8n \u2014 all financial compliance data stays in your infrastructure. git-versioned JSON = SOX IT audit trail.</p>\n`;\nreturn [{ json: { html, week: today.toISOString().split('T')[0], pciOverdue, pciCritical, pciOpenFindings, soxNotTested, soxExceptions, soxHighRisk } }];"
},
"name": "Build KPI Dashboard",
"type": "n8n-nodes-base.code",
"typeVersion": 2,
"position": [
900,
300
]
},
{
"parameters": {
"fromEmail": "compliance@yourfintech.com",
"toEmail": "ceo@yourfintech.com",
"cc": "cfo@yourfintech.com",
"bcc": "ciso@yourfintech.com",
"subject": "=Weekly FinTech Compliance Dashboard \u2014 {{ $json.week }}",
"emailType": "html",
"message": "={{ $json.html }}"
},
"name": "Email Leadership",
"type": "n8n-nodes-base.gmail",
"typeVersion": 2.1,
"position": [
1120,
220
]
},
{
"parameters": {
"channel": "#compliance-weekly",
"text": "=:bar_chart: *Weekly FinTech Compliance KPI \u2014 {{ $json.week }}*\nPCI DSS: {{ $json.pciOverdue }} overdue | {{ $json.pciCritical }} critical | {{ $json.pciOpenFindings }} open findings\nSOX ICFR: {{ $json.soxNotTested }} not tested | {{ $json.soxExceptions }} exceptions | {{ $json.soxHighRisk }} high-risk\nFull dashboard emailed to CEO/CFO/CISO."
},
"name": "Slack Weekly Summary",
"type": "n8n-nodes-base.slack",
"typeVersion": 2.2,
"position": [
1120,
380
]
}
],
"connections": {
"Monday 8AM": {
"main": [
[
{
"node": "Read PCI Data",
"type": "main",
"index": 0
},
{
"node": "Read SOX Data",
"type": "main",
"index": 0
}
]
]
},
"Read PCI Data": {
"main": [
[
{
"node": "Merge Compliance Data",
"type": "main",
"index": 0
}
]
]
},
"Read SOX Data": {
"main": [
[
{
"node": "Merge Compliance Data",
"type": "main",
"index": 1
}
]
]
},
"Merge Compliance Data": {
"main": [
[
{
"node": "Build KPI Dashboard",
"type": "main",
"index": 0
}
]
]
},
"Build KPI Dashboard": {
"main": [
[
{
"node": "Email Leadership",
"type": "main",
"index": 0
},
{
"node": "Slack Weekly Summary",
"type": "main",
"index": 0
}
]
]
}
}
}
CISO BCC is intentional: Most compliance issues surface late because the CISO isn't in the regular reporting loop. BCC-ing CISO on the weekly dashboard closes the governance gap without creating a separate reporting process.
Putting It Together
| Workflow | Regulation | Trigger | Output |
|---|---|---|---|
| PCI DSS Deadline Tracker | PCI DSS v4.0 | Weekdays 8AM | Slack + Email |
| SOX ICFR Testing Reminders | SOX §302/404 | Quarterly | Email + Sheets |
| GLBA NPI Breach Response | GLBA / FTC Safeguards | Webhook (DLP/SIEM) | Slack + Email |
| SEC Reg SCI Monitor | SEC Reg SCI Rule 1002 | Every 5 min | Slack + Email |
| Weekly Compliance KPI | All | Monday 8AM | HTML Email + Slack |
All 5 workflows are available individually or as a bundle at stripeai.gumroad.com — import-ready JSON, preconfigured severity tiers, and production-tested logic.
Why FinTech Teams Choose Self-Hosted n8n Over Zapier/Make
| Concern | Zapier/Make | Self-Hosted n8n |
|---|---|---|
| PCI DSS CDE scope | Cloud iPaaS = in-scope system | Your infra only |
| SOX ITGC audit trail | External vendor, limited logging | git-versioned JSON |
| GLBA data egress | NPI flows to US/EU cloud | Stays on-prem |
| SEC Reg SCI data | Regulated data outside enclave | In-VPC/GovCloud |
| Customization | Limited logic, per-step pricing | Unlimited, free |
All workflows include placeholder credentials. Replace YOUR_SHEET_ID with your Google Sheets document ID and update Slack channel names and email addresses before deploying.
This post is for informational purposes. Consult qualified legal counsel and your QSA/auditor for your specific compliance obligations.
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