RESOURCES AND PLAYBOOKS · GUIDEUPDATED 2026-03-04
Resources and Playbooks
Sanctions Screening Workflow Template
A step-by-step sanctions screening workflow template for onboarding, transaction checks, and ongoing monitoring.
Use this workflow template when you need one operating model across teams. It defines trigger points, evidence fields, reviewer ownership, and escalation rules for consistent sanctions controls.
§01What this workflow covers
SCOPE- Define trigger points by journey stage: onboarding, pre-transaction, and recurring monitoring.
- Standardize required evidence fields for every screening decision.
- Map analyst actions to risk tiers and confidence thresholds.
- Set SLA and escalation paths for unresolved potential matches.
- Track workflow quality with weekly CTR-style control metrics: completion, exceptions, and time-to-decision.
§02Key statistics
DATA- Core workflow stages
- 5 (trigger, collect, screen, review, decide/escalate)
- ScreenVeritAI workflow architecture
- Minimum governance artifacts
- 3 (policy, decision matrix, exception log)
- ScreenVeritAI operating model baseline
§03Compliance glossary
TERMS- Sanctions screening
- A control process that checks a person or entity against sanctions and watchlist datasets.
- PEP
- Politically Exposed Person: an individual in a prominent public function requiring enhanced due diligence.
- UBO
- Ultimate Beneficial Owner: the natural person who ultimately owns or controls a legal entity.
§04Authoritative references
SOURCES- 01FATF Recommendations
Financial Action Task Force
- 02OFAC Framework for Compliance Commitments
U.S. Department of the Treasury
§05Expert perspective
NOTE“Risk controls perform best when sanctions checks and ownership context are reviewed together.”
§06Frequently asked questions
Q&A- What is a sanctions screening workflow in practice?
- It is the operational sequence for running checks, reviewing matches, documenting decisions, and escalating unresolved risk in a repeatable way.
- Should one workflow cover both onboarding and transactions?
- Yes. The same framework should apply with stage-specific triggers so controls stay consistent while context changes.
- Which metrics prove the workflow is healthy?
- Track completion rate, review SLA adherence, unresolved match backlog, and false-positive trend by risk tier.
- How often should the workflow template be reviewed?
- Review at least quarterly, and immediately after major regulatory, jurisdiction, or operating-model changes.
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