Compliance
🛡️

Real-Time Compliance Screening

Automated OFAC, BIS, and customs watch list screening. Prevent violations before they happen with real-time party validation.

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✨ Key Benefits

  • Real-time screening against 50+ global watch lists
  • Automated screening on every transaction
  • 99.9% false positive reduction with fuzzy matching AI
  • Complete audit trail for compliance documentation

⚡ Core Capabilities

  • OFAC SDN list screening
  • BIS Denied Persons and Entity List checks
  • CBP and SAT restricted party databases
  • EU, UK, and international sanctions lists
  • Fuzzy name matching with confidence scoring
  • Entity resolution and alias detection
  • Automated clearance for known-good parties
  • Escalation workflow for potential matches

🔌 Integrations

OFAC SDN database BIS Denied Persons List CBP C-TPAT verification Mexican SAT blacklist

Overview

A single transaction with a sanctioned party can destroy your business. COEX One’s Compliance Screening automatically checks every party, every shipment, every time—ensuring you never unknowingly violate trade sanctions or customs regulations.

The Compliance Imperative

Why screening matters:

  • OFAC Penalties: $10K to $10M+ per violation
  • BIS Export Violations: Criminal prosecution possible
  • Customs Penalties: Forfeiture, debarment, imprisonment
  • Reputational Damage: Customer loss, media exposure
  • Supply Chain Disruption: Cargo holds, shipment delays

The challenge:

  • 50+ Watch Lists: OFAC, BIS, CBP, ICE, FBI, Interpol, EU, UK
  • Daily Updates: Lists change constantly, manual tracking impossible
  • Complex Names: Aliases, transliterations, diacritical marks
  • Entity Networks: Ownership chains, shell companies
  • Global Operations: Different regulations per country

How Our Screening Works

Automated Screening Points

Every party is screened automatically when:

  • Jobs Created: Supplier, consignee, IOR/EOR validation
  • Shipments Booked: Carrier, broker, warehouse screening
  • Invoices Processed: Vendor and customer checks
  • Parties Added: New stakeholder validation before save
  • List Updates: Re-screening when watch lists change

Multi-List Screening

We check against comprehensive databases:

US Government:

  • OFAC SDN (Specially Designated Nationals)
  • OFAC Consolidated Sanctions List
  • BIS Denied Persons List
  • BIS Entity List
  • BIS Unverified List
  • DDTC Debarred Parties
  • FBI Most Wanted
  • ICE Most Wanted

Mexican Government:

  • SAT Blacklist (Lista Negra)
  • Fiscal Debtors List
  • IMMEX Suspended Companies

International:

  • EU Consolidated Sanctions List
  • UK Sanctions List
  • UN Consolidated List
  • Interpol Red Notices
  • Country-specific lists (Canada, Australia, Japan, etc.)

Intelligent Matching

Our AI-powered matching engine handles complexity:

Name Variations:

  • Transliterations (Cyrillic, Arabic, Chinese)
  • Diacritical marks (à, é, ñ, ü)
  • Common misspellings and typos
  • Nicknames and shortened forms
  • Legal entity suffixes (LLC, Ltd, GmbH)

Fuzzy Matching:

  • Levenshtein distance scoring
  • Phonetic similarity (Soundex, Metaphone)
  • Token-based comparison
  • Contextual weighting

Confidence Levels:

  • 95-100%: High - Likely match, immediate hold
  • 85-94%: Medium - Review recommended
  • 70-84%: Low - Potential false positive
  • Below 70%: Clear - No action needed

Entity Resolution

Beyond simple name matching:

  • Address Verification: Geographic location correlation
  • Ownership Analysis: Parent/subsidiary relationships
  • Alias Detection: Known alternate names and DBAs
  • Date of Birth: Individual person verification
  • ID Numbers: Tax ID, passport, license plate matching
  • Network Analysis: Related parties and shell companies

Enterprise Workflow

Clearance Process

High-Confidence Match (95-100%):

  1. Transaction automatically held
  2. Compliance team notified via alert
  3. Manual review required before release
  4. Documentation of decision rationale
  5. Audit log entry created

Medium-Confidence Match (85-94%):

  1. Transaction flagged for review
  2. Analyst assesses additional context
  3. Quick clearance if false positive
  4. Escalation if genuine concern
  5. Learning improves future scoring

Low-Confidence (70-84%):

  1. Logged for audit purposes
  2. Optional review queue
  3. Typically false positive
  4. Can adjust thresholds per organization

Clear (Below 70%):

  1. Automatic approval
  2. Background audit trail
  3. No user action required

Known-Good List

Reduce false positives:

  • Whitelist Trusted Parties: Major suppliers, repeat customers
  • Auto-Clearance: Skip screening for approved entities
  • Periodic Re-Screening: Validate quarterly or semi-annually
  • Conditional Trust: Different rules for different transaction types

Escalation & Resolution

When matches occur:

  • Investigation Tools: View full watch list entry, supporting data
  • Documentation: Attach evidence, rationale for decisions
  • Approval Chain: Manager or compliance officer sign-off
  • Communication: Internal notes, external party outreach
  • Resolution Tracking: Close loop on all matches

Audit & Reporting

Compliance Documentation

Every screening is documented:

  • Screening Date/Time: Timestamp of check
  • Lists Checked: Which watch lists queried
  • Match Results: Confidence scores, potential matches
  • Review Actions: Who reviewed, decision made, rationale
  • Supporting Evidence: Documents, correspondence
  • Approval Chain: Management sign-offs

Reporting Dashboard

Real-time compliance insights:

  • Screening Volume: Daily/weekly/monthly transaction counts
  • Match Rate: Percentage of transactions flagged
  • False Positive Rate: How many matches cleared
  • Average Resolution Time: Speed of clearance decisions
  • High-Risk Parties: Trending entities requiring attention
  • List Updates: Recent watch list changes affecting you

Audit Trails

Complete history for regulatory review:

  • Searchable by party name, date, transaction
  • Export to PDF, Excel for auditors
  • Immutable logs (blockchain option available)
  • Retention policies (7 years default)

Risk Management

Proactive Alerts

Stay ahead of changes:

  • New Sanctions: Real-time notifications when entities added to lists
  • Existing Party Flagged: Alert if current partner gets sanctioned
  • Regulatory Changes: Updates to screening requirements
  • Compliance Deadlines: Upcoming regulatory filing dates

Risk Scoring

Beyond binary pass/fail:

  • Party Risk Score: Aggregate risk across multiple factors
  • Country Risk: Geographic compliance considerations
  • Transaction Risk: Value, frequency, product type
  • Relationship Risk: New vs. established parties
  • Industry Risk: High-risk sectors (defense, pharma, tech)

Policy Enforcement

Customizable compliance rules:

  • Block Transactions: Automatically reject high-risk parties
  • Require Approval: Manager sign-off for medium risk
  • Enhanced Due Diligence: Additional documentation for specific countries
  • Volume Limits: Cap exposure to higher-risk entities

Integration Ecosystem

Upstream Systems

Screen parties from:

  • CRM: Salesforce, HubSpot contacts
  • ERP: SAP, Oracle vendors and customers
  • E-commerce: Shopify, Magento orders
  • Procurement: Coupa, Ariba suppliers

Downstream Actions

Screening results trigger:

  • Transaction Holds: Stop shipments, invoices, payments
  • Workflow Routes: Send to compliance team
  • Alerts & Notifications: Email, Slack, Teams
  • Audit Logs: Automatic compliance documentation

Real-World Impact

Case Study: Electronics Manufacturer

Challenge: 5,000+ global suppliers, manual screening impractical

Solution:

  • Automated screening on all purchase orders
  • Integration with SAP vendor master
  • Known-good list for top 500 suppliers
  • Quarterly re-screening of all active parties

Result:

  • 100% screening coverage (up from 15% manual)
  • Zero violations in 3 years of operation
  • 4 sanctions hits prevented (would have been $800K+ in penalties)
  • 95% reduction in false positives vs. generic tools

Case Study: Customs Broker

Challenge: Screen thousands of client shipments daily

Solution:

  • API integration with brokerage TMS
  • Real-time screening on booking
  • Multi-client compliance segregation
  • White-label reports for customers

Result:

  • Instant screening on 15,000+ monthly shipments
  • Client-facing compliance reporting
  • Competitive differentiation in broker market
  • Reduced E&O insurance premiums

Mexican Customs Focus

Specialized screening for Mexico operations:

  • SAT Blacklist: Tax non-compliant entities (69-B list)
  • IMMEX Suspensions: Maquiladora program violations
  • Fiscal Debtors: SAT lista de deudores
  • PLD/FT: Anti-money laundering (PLD/FT) checks
  • REPSE: Labor outsourcing registry verification

Global Compliance

Multi-jurisdiction support:

  • USMCA: US-Mexico-Canada trade agreement parties
  • EU GDPR: Privacy-compliant data handling
  • UK Sanctions: Post-Brexit regulations
  • ASEAN: Southeast Asia screening requirements
  • Emerging Markets: Local compliance as you expand

Implementation

Getting started is simple:

  1. Import Parties: Upload existing customer/vendor lists
  2. Run Initial Scan: Baseline screening of all entities
  3. Configure Thresholds: Set confidence levels for your risk appetite
  4. Enable Auto-Screening: Turn on real-time checks
  5. Monitor & Refine: Adjust based on false positive rates

Pricing

Compliance Screening included in all plans:

  • Starter: 500 screens/month, basic watch lists
  • Professional: 5,000 screens/month, all lists, API access
  • Enterprise: Unlimited screens, priority updates, dedicated support

Add-ons available for enhanced due diligence, country-specific lists.

Peace of Mind

With COEX One Compliance Screening:

✅ Never miss a sanctioned party
✅ Automatic screening 24/7/365
✅ Audit-ready documentation
✅ Regulatory confidence
✅ Supply chain protection

Without it:

❌ Manual screening (error-prone)
❌ Outdated watch lists
❌ Audit exposure
❌ Penalty risk
❌ Reputation damage

Don’t leave compliance to chance. Automate your screening today.

Ready to Get Started?

See how Real-Time Compliance Screening can transform your customs operations

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