Governance, Risk & Compliance
Sanctions Compliance and Screening Fundamentals
This practical course develops directly applicable capability in Sanctions Compliance and Screening Fundamentals. Participants work in depth on Sanctions Framework and Exposure, and Customer and Third-Party Screening, and Transaction and Trade Screening, then convert the methods into tools and actions suited to their workplace.
Objectives
- Apply the principles and methods of sanctions framework and exposure in a workplace context.
- Apply the principles and methods of customer and third-party screening in a workplace context.
- Apply the principles and methods of transaction and trade screening in a workplace context.
- Apply the principles and methods of alert investigation in a workplace context.
- Apply the principles and methods of sanctions controls and governance in a workplace context.
- Apply the principles and methods of breach and case response in a workplace context.
Target audience
- Professionals responsible for the subject area
- Managers and supervisors
- Analysts, coordinators, and specialists
- Project and improvement teams
- Employees preparing for broader responsibilities
Program outline
A clear structure for the learning journey.
Program outline
Outline points are grouped in one designed block instead of being treated as separate module cards.
Module 1: Sanctions Framework and Exposure
Targeted, sectoral, geographic, and activity restrictions
Customers, suppliers, payments, goods, and ownership exposure
Jurisdiction and escalation boundaries
Module 2: Customer and Third-Party Screening
Names, aliases, identifiers, and transliteration
Beneficial ownership and control considerations
Screening at onboarding and lifecycle events
Module 3: Transaction and Trade Screening
Payments, banks, vessels, ports, goods, and end use
Free text and structured-field screening
Timing controls before execution or release
Module 4: Alert Investigation
Exact, fuzzy, and false-positive matches
Comparing identifiers and contextual evidence
Documenting disposition and escalation
Module 5: Sanctions Controls and Governance
Risk assessment, policy, roles, and approval authority
List updates, system testing, and access control
Recordkeeping, training, and management information
Module 6: Breach and Case Response
Stopping activity and preserving evidence
Internal escalation and specialist review
Root cause, remediation, and reporting decisions
Materials provided
- ○ Course-specific presentation slides
- ○ Practical exercises and facilitated activities
- ○ Course-specific worksheets, checklists, and templates
- ○ Applied workplace case studies
- ○ 4D Certificate of Completion issued by 4D Training & Consultancy
- ○ Post-course support for implementation questions
Training Options
Programs can be delivered in-house, online, or in a blended format depending on your team's schedule, location, and learning objectives. When an external certificate or exam is included, certification rules and fees remain under the relevant awarding body's policies, while 4D provides the training and preparation support.
Why choose 4D
4D adapts this program to the participant group and workplace context. Delivery combines structured explanation with course-specific exercises, realistic cases, working tools, and an action-planning component so participants can transfer the learning to their roles.
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