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Compliance Workflows

Real-world, step-by-step compliance workflows that show exactly which APIs to call and in what order. Each workflow maps to a common regulatory requirement.

8 workflowsProduction-ready patterns

Before onboarding a new customer, vendor, or trading partner, you need to verify their identity, screen them against government watchlists, and confirm they are not excluded from doing business. This workflow automates the entire due diligence process.

Trigger

New customer/vendor registration or partnership request

APIs Used
Restricted Party ScreeningSAM.gov Entity SearchOIG LEIE ExclusionsSEC EDGAR SearchFDIC Bank Verification
1

Screen against federal watchlists

Call /v1/compliance/restricted-party-screening with the entity name, country, and aliases. Checks OFAC SDN, BIS Entity List, DPL, UVL, MEU, and 12+ other lists.

Export Compliance
2

Check SAM.gov registration & exclusions

Call /v1/business/sam/search to verify the entity is registered as a federal contractor and not excluded from government programs.

Professional & Business
3

Screen OIG exclusion list (if healthcare)

Call /v1/legal/oig/check/:npi for healthcare providers to verify they are not on the List of Excluded Individuals/Entities.

Legal & Exclusions
4

Verify financial standing

For financial entities: search SEC EDGAR for filings, check FDIC BankFind for bank status, or query FINRA BrokerCheck for broker registrations.

Financial & Securities
5

Record decision & set re-screening schedule

Store the screening results, flag any hits for manual review, and schedule periodic re-screening (e.g., daily or weekly) against updated watchlist data.

Internal
Outcome

Entity approved, flagged for review, or rejected — with full audit trail