Compliance Controls

Automated checks that ensure export compliance

What Are Compliance Controls?

Compliance controls are automated checks that run during transaction processing. They evaluate transactions against regulatory requirements and organizational policies, flagging issues before they become violations.

Built-in Controls

Denied Party Screening

Critical

Checks all parties against restricted lists. Blocks transactions with confirmed matches. Cannot be disabled.

Country Embargo Check

Critical

Blocks exports to comprehensively embargoed countries (Iran, North Korea, Syria, Cuba, Crimea region).

License Validation

High

Verifies required licenses are on file and not expired. Tracks license usage against authorized quantities and values.

Classification Check

High

Ensures all products have proper USML/ECCN classification before export. Unclassified items are flagged for review.

End-Use Statement

Medium

Requires end-use statements for controlled items or sensitive destinations. Validates statement is on file and current.

Red Flag Indicators

Medium

Checks for suspicious patterns: unusual routes, cash payments, reluctance to provide information, etc.

Control Severity Levels

CriticalAutomatic block - transaction cannot proceed

HighRequires resolution before approval

MediumWarning - can proceed with acknowledgment

LowInformational - logged for audit

Control Results

Each transaction shows control results in the compliance panel:

✓PASS - Control check passed
✗FAIL - Control check failed, action required
⚠WARN - Warning condition, review recommended
−N/A - Control not applicable to this transaction

Configuring Controls

Administrators can configure control behavior in Compliance > Compliance Framework:

Enable or disable optional controls
Adjust severity levels for organizational needs
Configure exceptions for specific scenarios
Set notification preferences

Note: Critical controls (denied party, embargo) cannot be disabled as they are required by law.