Sanctioned Parties Screening

Ongoing and ad hoc screening of customers, suppliers, banks, vessels and intermediaries against sanctions, PEP, adverse media and other risk intelligence sources.

DomainExport Control / Party Risk

UsersCompliance teams, master data, sales operations

Main integrationsERP, CRM, Dow Jones, Transaction Screening

At a glance

Area	Description
Purpose	Screens entities and persons against risk data, aggregates alerts, supports decision workflows and monitors changes over time. It can be used for master data screening, list screening and transaction-level party checks.
Typical inputs	Business partners, persons, banks, vessels, addresses, countries, segment assignment rules, risk content categories and screening parameters.
Typical outputs	Match results, alert categories, risk profile details, screening reports, blocked/released status, monitoring status and audit history.
Business value	Provides one controlled platform to detect, investigate and document sanctioned party risks, reducing false-positive handling effort while securing ongoing monitoring.

Core capabilities

• Entity and person monitoring workbench with alert icons and status aggregation
• Risk alert detail view with match percentage, match type and profile data
• Dow Jones profile details including sanctions, ownership and relationships
• Adverse media dashboards when subscription is available
• Ad hoc screening in simple, advanced and list-upload modes
• Configurable screening segments by business context
• Action and decision workflow for open, cleared and confirmed matches
• Audit trail and report generation for screening activities

Business challenges addressed

• Companies must screen customers, suppliers, banks, vessels, intermediaries and other parties against sanctions and risk lists.

• False positives need efficient review and decision workflows.

• Different party types require different thresholds and content categories.

• Compliance teams need evidence of every screening, decision and release/block action.

• ERP transactions may need to be blocked until party risk is cleared.

Functional description

The Sanctioned Party Screening functionality ensures compliance with globally published lists of sanctioned parties, by comparing the active business partners and business partners participating in supply chain transactions against the sanctioned entities.

The user is presented a worklist of possible matches of existing partners against the published list and need to act by blocking or releasing these partners. The solution can be operated on an ad-hoc basis, testing individual partners, it can be used to screen or re-screen an existing list of partners or it can be integrated in the flow of sales transaction to ensure compliance at every step of the order execution.

Worklist, List of Released Parties, List of Blocked Parties

Any business partner with an identified potential match against the list of sanctioned parties is put onto a worklist, for an authorized user to look at. Via integration with the ERP or TMS system the MyTower Sanction Party solution can ensure that transactions with this business partner are blocked as long as the entity is on the work list or if it is on the list of blocked parties.

The user then decides to either release the business partner (add to the list of released parties, for false positive matches) or on the list of blocked parties (real positives). If a business partner is released, the MyTower Sanction party system can send a message to the ERP or TMS system to release any blocked transaction involving this business partner. If the business partner is blocked the transaction remains blocked. In addition, an alert is sent to a user in charge of maintaining the business partner data in the system of record, in order to avoid that new transactions are created with this business partner.

Fuzzy matching

Since there are many different formats and spelling variations for names and addresses the system uses a fuzzy logic algorithm to identify matches between the list of sanctioned parties and the list of business partners. The system allows the administrative user during the set-up phase to tune the parameter of the matching algorithm to optimize the level of false positives vs. the efficiency to identify real positive matches.

Screening frequency

To screen data base of business partners the MyTower Sanction Party Module is interfaced with any system which owns data on business partners. The system screens regularly the entire database, triggered by a change in the published list of sanctioned parties. Any business partner which is created or modified is automatically screened or re-screened.

Continuous Monitoring

The entities submitted to the Sanction Party Screening are automatically re-evaluated if new updates to the entity lists become available. Already identified (false or true) positives are not reflagged.

Sanction Party and Ultimate Beneficial Owner data

To support the compliance-check the MyTower GTM Sanctioned Party Screening solution integrates a third-party database of Sanctioned Parties and Ultimate Beneficial Owner (UBO). Different data providers can be selected. A preferred data provider of MyTower is Dow Jones. The Dow Jones dataset of sanctioned party includes all officially released list of sanctioned parties, parties of political exposure, persons of concerns as well means of transport subject to concerns in all geographies. In addition, Dow Jones maintains an extensive database of business relationships to support the Ultimate Beneficial Owner Analysis.

Feature reference

Entities & Persons Monitoring (SAM — Screening & Monitoring)

The core ongoing monitoring workspace for compliance teams, built on a powerful AG Grid interface:

• Unified Entity/Person view — all screened parties displayed in one central grid with customizable columns: ERP Code, Entity Name, Country, Segment, Alerts, Status, Source, Created/Updated dates, and more

• Alert icon system — visual risk indicators with color-coded icons per alert type (SAN, PEP, SOR, OOL, OEL, ECR, SIP, RCA, SOC, AM) with hover tooltips showing full alert names

• Advanced filtering & bookmarks — save complex filter combinations by alert type, status, segment, country, or source

• Status aggregation — entity-level status automatically aggregated from individual match statuses:

Entity Status	Condition
For Action	At least one match is "Open"
Confirmed	No open matches, at least one confirmed match
Cleared	All matches cleared or permanently cleared
Deactivated Monitoring	Entity monitoring deactivated (highest priority status)

• Excel export — download entity data and alert details

• Product images — visual entity identification

• Entity upload — bulk upload entities via Excel template with validation

Risk Alert Details View

Drill-down into each entity's screening matches:

Field	Description
Matched Name	Name from the sanctions/risk database that triggered the alert
Match %	Certainty score (0.01% to 100%)
Match Type	PRECISE, NEAR, or BROAD
Profile Title	Title of the matched risk profile
Primary Name	Primary name of the matched profile
Primary Country	Country of the matched profile
Alert Icons	Visual risk category indicators (SAN, PEP, SOC, etc.)
Status	Current match decision (Open, Cleared, Confirmed, etc.)
Match Date	When the match was detected
Match Lifecycle	RELATIONSHIP (initial) or WATCHLIST (ongoing monitoring)
Valid	Whether the match is still active
Boosting Events	Score boosting factors (Country, Gender, etc.)

Features:

• Entity Information panel — side-by-side comparison of screened entity data vs. matched profile

• Address display — full address details for matched entities

• Variation indicators — structural, linguistic, and non-linguistic name variations

Profile Match Details

Full-screen deep dive into a matched risk profile from the Dow Jones database:

• Basic Information — entity type, primary name, formerly known as, spelling variations, Factiva code

• Country/Territory Details — registration, affiliation, and ownership countries with ISO codes

• Identification Details — DUNS, LEI, OFAC IDs, company registration numbers, tax numbers, NAICS/NACE/SIC codes

• Watchlist Information — sanctions lists, content types (Active/Inactive), listing dates, OFAC program references, address details, and Dow Jones editorial notes

• State-Owned Company Details — current and past ownership (country, percentage, government level), board appointing control, voting control, subsidiary status

• Sanctions List References — individual list entries with descriptions, dates, and source links

• Relationships — parent companies, subsidiaries, shareholders/owners with navigable links to related profiles and their own alert icons

• Profile Notes — Dow Jones editorial commentary with creation and update history

• Profile Report — downloadable PDF report per matched profile with header, footer, and Dow Jones disclaimer

Adverse Media Screening (Subscription-dependent)

Integrated negative news analysis for matched profiles:

• Statistics dashboard — horizontal bar chart showing article count across three categories: Competitive/Financial, Environment/Production, and Regulatory

• Government action breakdown — pie chart distinguishing articles with vs. without government action

• Timeline view — year-by-year article timeline across all categories

• Media snippet table — AG Grid listing all adverse media entries with hyperlinks to original news articles

• Translation — DeepL API integration for translating news snippets into the user's language

• Interactive filtering — click on chart elements to filter the table dynamically

Ad Hoc Screening

Three screening modes for on-demand compliance checks:

Simple Mode

• Quick name-based search for entities or persons

• Uses default segment parameters automatically

• Instant results with alert display

• Download and Summary Report buttons

• No Match Found report generation with search criteria, timestamp, and screener name

Advanced Mode

• Full parameter control:

Parameter	Description
Entity/Person toggle	Select screening type
Name	Mandatory search input
Score Threshold	Match certainty threshold (default 80%)
Search Type	PRECISE, NEAR, or BROAD (default NEAR)
Identification Number	Search by ID (IMO for vessels, BIC for banks, etc.)
ID Type	Dropdown from Dow Jones Taxonomy API
Country/Territory Match	Require country match (checkbox)
Content Category	Multi-select hierarchical list categories
Active Profiles Only	Toggle to filter inactive profiles

• Identification types include: IMO Ship Number, DUNS, LEI, Passport, National ID, OFAC IDs, BIC, Company ID, Tax Number, and 50+ additional types via Dow Jones taxonomy

• Report Summary PDF — downloadable with search criteria, results, screener name, timestamp, and Dow Jones disclaimer

List Screening

• Excel batch upload — upload files of entities (e.g., thousands of bank records) for bulk screening

• Download template — configurable Excel template with validation rules (mandatory fields, ISO2 country codes, character limits)

• Progress tracking — real-time progress bar during screening

• Results view — AG Grid showing screening results per entity with alert icons

• Action logging — log decisions directly against list screening results

• File management — view, delete, and filter uploaded screening files with "Uploaded by" tracking

All ad hoc screening activity is logged to the database (user, date/time, screening type, inputs, parameters, and results) for full audit trail.

Screening Segments Configuration

Configurable screening parameter sets for different business contexts:

• Multi-segment support — create distinct segments for different data categories (e.g., Suppliers, Banks, Customers, Vessels)

• Automatic entity assignment — SpEL expression-based rules to auto-assign incoming entities to the correct segment (e.g., account_group == 'Z100' → Segment 1)

• Default segment — fallback for entities not matching any assignment rule

• Per-segment parameters:

Parameter	Description	Default
Segment Name	Label identifying the segment	New_Segment
Segment Type	Entity or Person	Entity
Score Threshold	Match certainty cutoff (0.01 to 1.0)	0.8
Search Type	PRECISE, NEAR, or BROAD	NEAR
Content Categories	Which risk lists to screen against	Watch Lists (WL)
Include LQAKA	Include Low Quality Also Known As names	false
Ongoing Monitoring	Index for continuous monitoring	true

• Score Preferences (boosting & exclusions):

Dimension	Applicable To
Country	Person & Entity
Gender	Person
Identification Details	Person & Entity
Industry Sector	Entity
Year of Birth	Person
Deceased	Person

• Read-only & edit modes — view segment details without risk of accidental modification; explicit edit mode with pencil icon

• CRUD operations — create, edit, delete segments with validation and confirmation dialogs

Content Categories (Hierarchical Risk Lists)

Comprehensive, hierarchical screening list selection:

Category	Sub-Categories
Watchlist (WL)	Politically Exposed Persons (PEP), Relative or Close Associate (RCA), Sanctions Lists (SAN), Other Official Lists (OOL), Other Exclusion Lists (OEL), Enhanced Country Risk (ECR) – Vessels, Sanctions Control & Ownership (SCO), Special Interest Person (SIP), SIP Lower Threshold, Organised Crime Japan (OCJ)
State-Owned Companies (SOC)	State-Owned Companies, Board Members (BRD), Close Associates/Related Entities
Adverse Media (AM)	Adverse Media Entities (AME)
Additional packages	AntiCorruption, HighRiskFactors, Locations, TradeCompliance, MRB, MSB

• Subscription management — system validates content category selection against customer's Dow Jones subscription; non-subscribed lists show clear error messages

• Configurable per segment — different segments can screen against different list combinations

Action & Decision Management

Comprehensive compliance decision workflow:

Available actions:

Action	Description
Open	New match requiring review
Cleared	Match reviewed and determined not a risk
Permanently Cleared	Match dismissed permanently (entity continues monitoring but status is never overwritten)
Confirmed	Match confirmed as a genuine risk
Confirmed Blocked	Confirmed and business blocked
Confirmed Under Review	Confirmed, under further investigation
Confirmed Risk Mitigated	Confirmed but risk mitigated

Features:

• Action popup — select action name, risk level, and comment

• Risk levels — configurable per action (Not Applicable, Low, Medium, High, Very High)

• Predefined comments — standard text templates (e.g., "Considered as false match", "Alerts are inactive per Dow Jones", "Not related to International Sanctions programs") — customizable per customer

• Free-text comments — in addition to predefined templates

• Action history — full audit trail showing action name, risk level, comment, user, and date for every decision

• Mass actions — select multiple entities and apply the same action in bulk

• Status propagation — actions at match level automatically propagate to entity-level aggregated status

White List / Name Cleansing

Pre-screening name normalization engine:

• Configurable replacement table — define source strings and their replacements to clean entity names before submission to Dow Jones

• Examples: remove commas, strip common words like "Company", "Ltd", "Inc"

• Managed via General Parameters — CRUD operations on the replacement table

• Applied to all screening modes — SAM monitoring, Ad Hoc Simple, Advanced, and List Screening

Data Integration & Ingestion

Automated entity lifecycle management:

• ERP Integration via SFTP — daily automated entity data ingestion from SAP and other ERPs

• Multiple data sources — support for multiple source files per customer (e.g., partner master data, orders, screening extracts)

• Data Log view — AG Grid showing daily upload history:

Column	Description
Date	Upload date
Total Entities	Total count in file
New Entities	Newly created
Changed Entities	Updated records
Deleted Entities	Removed records
Processing Status	Ready / Processing
Source File	File identifier

• Error file tracking — detailed error reporting for failed entity ingestion

• Automatic Dow Jones synchronization — entities submitted to DJ in batches with transaction status monitoring

Transaction Screening (TS) Integration

Extend screening beyond static entity monitoring to live business transactions:

• Transaction-level screening — screen all parties involved in a transaction (ship from, ship to, buyer, seller, banks)

• SPS ↔ TS link — API connecting Transaction Screening to SPS for real-time party screening status:

  • Party already screened in SPS → collect status

  • Party exists but not screened → trigger screening and return result

  • New party → create, screen, and return result

• Transaction result enrichment — transaction screening results enriched with party screening status

• Status management — validated status and comments on transaction lines, with mass update and action history

Document Management

Per-entity document lifecycle:

• Upload documents — attach supporting files to any entity (certificates, investigation reports, correspondence)

• View documents — inline document viewer

• Download documents — direct download with file size displayed in kB

• Version tracking — multiple document versions per entity

BI Analytics & Dashboards

Power BI integration for screening analytics:

Dashboard	Description
SPS Entity Monitoring	KPIs on screened entities, match rates, status distribution
Vessel Screening	Vessel-specific alerts with alert type slicers
SPS CBM Integration	Cross-module dashboard linking vessel screening hits to CBM declarations
Data Log Report	ETL processing monitoring — incoming files, new/changed/deleted records, errors

Typical workflow

1. Import or synchronize business partners from ERP or other party systems.
2. Assign entities to screening segments based on business rules or data attributes.
3. Screen and monitor parties against subscribed risk intelligence content.
4. Review matches in a worklist with profile details and entity comparison.
5. Record decisions and comments, and release or block the party as required.
6. Transmit relevant decisions back to ERP/TMS or transaction screening processes.

Integrations

Module	Integration
CBM (Customs Broker Management)	Vessel screening results linked to import/export declarations; cross-module dashboards
Transaction Screening (TS)	Real-time party screening status fed into transaction-level compliance checks
Classification	Classification interface data logs share infrastructure with SPS data monitoring
Master Data	Entity master data (party codes, addresses, country codes) synchronized as screening inputs
Dashboard	Integrated GTM dashboard with SPS screening KPIs

Access control

Granular, configurable permissions:

Permission	Description
SPS Module access	Control access to the SPS sub-module
Entities & Persons view	Access to monitoring view
Ad Hoc — Simple Mode	Access to simple screening
Ad Hoc — Advanced Mode	Access to advanced screening
Ad Hoc — List Screening	Access to batch screening
Action Control (Entity)	Permission to log decisions on entities
Action Control (List Screening)	Separate permission for list screening actions
Screening Segment Parameters	Access to segment configuration
General Parameters	Access to white list and system settings
Bookmark Admin	Create and manage global bookmarks

• Standard user role — restricted to Simple & Advanced Ad Hoc screening only

• Admin role — full access including segments, parameters, and data logs

• Easy role duplication — rapid onboarding of new user profiles

Data provider: Dow Jones Risk & Compliance

Feature	Details
Provider	Dow Jones Risk & Compliance (RiskCenter)
API Integration	SAM API (Screening & Monitoring) + R&C Search API (Ad Hoc)
Profile Database	Global risk profiles covering 2.8M+ entities and persons
Content Updates	Continuous updates from 800+ sanctions lists and official sources
Taxonomy API	Dynamic retrieval of ID types, country codes, and content categories
Profile Reports	Dow Jones-formatted PDF reports with disclaimer
Electronic Signature	eIDAS-compliant via Signaturit (for related DLT workflows)

See also Sanctions lists content.

Related

• Transaction Screening
• Sanctions lists content
• Implementation steps