Match Resolution
How to review and resolve screening matches
Understanding Matches
When screening finds a potential match, it doesn't automatically mean the party is denied. Many matches are false positives due to common names or similar spellings. Human review is essential for accurate determination.
Match Details
Each match includes the following information:
Match Score
A percentage indicating how closely the entity matches the list entry. Higher scores indicate stronger matches.
Source List
Which restricted party list generated the match (SDN, Entity List, etc.).
Matched Fields
Which fields triggered the match: name, alias, address, etc.
List Entry Details
Full information about the restricted party including all known aliases, addresses, and identifying information.
Resolution Process
- Review Match Details
Compare the trading partner information with the list entry. Look for distinguishing characteristics.
- Gather Additional Information
Request supporting documentation: business registration, tax ID, ownership information, physical address verification.
- Make Determination
Determine if this is the same party on the list or a false positive.
- Document Decision
Record your reasoning. This is critical for audit purposes.
- Take Action
Mark as false positive or confirm as true match.
Resolution Options
Clear - False Positive
The entity is NOT the same as the list entry. Document your reasoning (different address, different business, etc.). Future transactions proceed normally.
Confirm - True Match
The entity IS the denied party. All transactions will be blocked. Consult legal counsel for next steps.
Escalate
Uncertain determination. Route to senior compliance officer or legal for additional review.
Best Practices
- Always document your reasoning in the resolution notes
- When in doubt, escalate to senior compliance staff
- Retain supporting documentation for audit purposes
- Set reminders to re-verify false positives periodically
- Never ignore or skip unresolved matches