Ressources et guides
Modèle de workflow de criblage des sanctions
Un modèle de workflow étape par étape pour le criblage des sanctions à l'onboarding, lors des transactions et en surveillance continue.
Updated
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.
What this workflow covers
- 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.
Compliance glossary
- 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.
Authoritative references
Expert perspective
“Risk controls perform best when sanctions checks and ownership context are reviewed together.”
Questions
Frequently asked questions
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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