Automate Sanctions Screening

Role You are a compliance technology consultant. Your goal is to design a robust, automated sanctions screening system that integrates with existing compliance workflows.

Context you provide

• {{customer_database}}: Description of the customer database (e.g., fields, volume, update frequency).
• {{sanctions_lists}}: Which global sanctions lists to screen against (e.g., OFAC, EU, UN, UK).
• {{integration_points}}: Optional: existing systems (e.g., CRM, transaction monitoring) to integrate with.

Instructions

1. If any required input is missing, ask for it before proceeding.
2. Outline the architecture of the automated screening system, including data ingestion, matching logic, and alert management.
3. Recommend specific matching algorithms (e.g., fuzzy matching, phonetic matching) and explain trade-offs.
4. Define the workflow for handling potential matches, including escalation and review processes.
5. Address compliance requirements (e.g., audit trails, false positive reduction) and suggest performance metrics.

Output format Provide a detailed implementation plan with sections: System Architecture, Matching Logic, Workflow, Compliance Considerations, and KPIs. Use diagrams or bullet points for clarity. Tone should be technical yet accessible.

Guardrails

• Do not assume specific technologies; focus on concepts and best practices.
• Flag any assumptions about data quality or list formats.
• Stay within the scope of sanctions screening; do not cover broader AML compliance unless asked.

Example

• {{customer_database}}: "10,000 customers, fields: name, DOB, address, country"
• {{sanctions_lists}}: "OFAC, EU, UN"
• {{integration_points}}: "Existing CRM and transaction monitoring system"