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Run: OFAC Potential Match Investigation Form

Document an OFAC potential match review from alert to final decision. Use it to compare identifiers, record due diligence, and keep a clear audit trail for b...

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Submission Notice

Purpose of submission

Anonymous submission

Select only if your workflow allows anonymous submission for internal triage and no direct follow-up is needed.

Yes No N/A

PII and compliance record acknowledgment (required)

I understand this form collects limited PII and compliance data for sanctions screening, audit trail, and recordkeeping purposes.

Yes No N/A

Alert and Screening Details

Alert ID (required)

Screening date (required)

Screening system (required)

Alert type (required)

Source record reference (required)

Reference the internal customer, vendor, transaction, or shipment record tied to the alert. Avoid entering full account numbers unless required by policy.

Matched Party and Identifier Comparison

Screened party name (required)

OFAC list name (required)

Identifier comparison (required)

Document the identifiers reviewed and whether they matched, partially matched, or did not match.

Identifier comparison notes (required)

Summarize the key similarities and differences, including any progressive disclosure items that were reviewed only if relevant.

Due Diligence and Escalation

Review steps completed (required)

Supporting documents

Upload only the documents necessary to support the investigation and decision.

Escalation required? (required)

Escalation details

Show only if escalation is required. Include who was notified, when, and the reason for escalation.

Audit trail notes (required)

Record the chronology of the review, including timestamps, reviewer names or roles, and key decision points.

Decision and Outcome

Final decision (required)

Decision rationale (required)

Blocking or rejection action taken

Select if the transaction, account, or relationship was blocked, rejected, or otherwise restricted.

Yes No N/A

Next review date

Set if the matter remains open or requires follow-up monitoring.

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Email (required)

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