This specialized course provides comprehensive training on sanctions screening methodologies and compliance techniques essential for financial institutions and regulated entities. Participants will learn about different types of sanctions programs, screening technologies, and best practices for implementing effective sanctions compliance programs. The course covers both manual and automated screening approaches, including name matching algorithms, fuzzy logic, and scenario-based screening. Through practical exercises and real-world case studies, learners will develop the skills needed to navigate the complex sanctions landscape and mitigate compliance risks.
Sanctions Screening and Compliance: Tools and Techniques
Anti-Money Laundering AML/CFT
October 25, 2025
Introduction
Objectives
Key Learning Objectives:
- Understand the different types of sanctions and their legal basis
- Learn effective name matching and screening techniques
- Master sanctions list management and updating processes
- Develop skills in designing and implementing screening scenarios
- Understand the role of technology in sanctions screening
- Learn to conduct sanctions risk assessments
- Master alert investigation and resolution procedures
- Understand regulatory expectations for sanctions compliance
- Learn best practices for sanctions program governance
Target Audience
- Sanctions compliance officers
- AML/CFT compliance professionals
- Payment operations and processing staff
- Trade finance professionals
- Risk management personnel
- Legal and compliance counsel
- Financial technology developers
- Audit and testing professionals
Methodology
- Hands-on screening system simulations
- Case studies of sanctions violations
- Group exercises in scenario design
- Alert investigation role-playing
- Regulatory requirement analysis
- Technology vendor evaluation exercises
- Cross-border transaction screening practice
Personal Impact
- Enhanced technical screening skills
- Improved analytical and investigative capabilities
- Stronger understanding of global sanctions regimes
- Better risk assessment and scenario design skills
- Increased confidence in handling complex screening cases
- Career development in specialized compliance areas
Organizational Impact
- Reduced sanctions compliance violations
- More efficient screening processes and reduced false positives
- Enhanced regulatory compliance and examination readiness
- Improved risk management and mitigation
- Stronger governance and oversight framework
- Better resource allocation and cost management
Course Outline
Unit 1: Sanctions Fundamentals and Regulatory Framework
Types of Sanctions Programs- UN, EU, OFAC, and other sanctions regimes
- Comprehensive vs targeted sanctions
- Primary and secondary sanctions implications
- Jurisdictional considerations and extra-territorial application
- OFAC regulations and compliance expectations
- EU sanctions framework and implementation
- Global sanctions coordination mechanisms
- Penalties and enforcement actions analysis
Unit 2: Sanctions Screening Technologies and Tools
Screening System Fundamentals- Name matching algorithms and logic
- Fuzzy matching and phonetic techniques
- Watchlist data management and quality control
- System configuration and parameter settings
- Transaction screening vs customer screening
- Payment message screening (SWIFT, etc.)
- Geographic and vessel screening
- Real-time vs batch screening approaches
Unit 3: Screening Scenario Design and Implementation
Risk-Based Scenario Development- Scenario design principles and methodology
- Threshold setting and calibration techniques
- Customer risk rating integration
- Product and service risk considerations
- False positive reduction strategies
- Scenario effectiveness measurement
- Periodic review and enhancement processes
- Industry benchmarking and best practices
Unit 4: Alert Investigation and Resolution
Alert Management Process- Alert triage and prioritization techniques
- Investigation methodology and documentation
- Information gathering and verification
- Decision-making and escalation procedures
- Documentation requirements and standards
- Management reporting and MI development
- Quality assurance and review processes
- Record retention and audit trail maintenance
Unit 5: Sanctions Compliance Program Governance
Program Framework and Oversight- Sanctions compliance program elements
- Roles and responsibilities definition
- Training and awareness programs
- Independent testing and audit requirements
- Enterprise-wide sanctions risk assessment
- Customer and product risk analysis
- Geographic risk exposure management
- Controls testing and validation
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