Can the re-sign form be completed electronically?

Yes. Electronic signatures are legally enforceable under the ESIGN Act (15 U.S.C. ch. 96) and UETA where adopted. Ensure the signer demonstrates intent, consents to electronic records, the signature is attributable, and the record can be retained and reproduced.

When is notarization required?

Most internal PEP re-sign forms do not require notarization, but state-specific or contractually required notarial acknowledgement may apply. Check jurisdictional rules or contract clauses before requiring notarization.

What if the employee refuses to sign?

Document the refusal, escalate to HR and compliance, and follow internal disciplinary or contractual steps. Maintain documentation of attempts to obtain the signature and any remedial actions taken.

How do I correct a signed form?

If an error is clerical, create and sign an amendment or replacement form and attach both the original and corrected versions with a clear audit note explaining the change and approval.

Is a scanned handwritten signature acceptable?

A scanned image can be accepted if the signing event includes an audit trail proving signer intent and attribution. For higher assurance consider stronger authentication or cryptographic signatures where required.

How long should signed forms be stored?

Retain per your internal retention policy and legal obligations; follow federal minimums and industry rules (for example, IRS, HIPAA) and note state variations when applicable.

Electronic Signature
Templates
HR
Employee PEP Re-sign Form

Employee PEP Re-sign Form

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

EMPLOYEE PEP RE-SIGN FORM

Employee Information

Employee Name:

Employee ID: Department:

Primary Contact Home Address

Position Information

Job Title:

Reporting Manager:

Employment Start Date:

Compensation Employment Type (select one)

Full-time Part-time Contractor

PEP Declaration

For the purposes of this form, a Politically Exposed Person (PEP) is an individual who holds or has held a prominent public function, or an immediate family member or close associate of such an individual. Employees must disclose if they or an immediate family member or close associate are PEPs. Failure to disclose material information may result in disciplinary action.

PEP Status: I am not a PEP I am a PEP I am a family member or close associate of a PEP

If "I am a PEP" or related, provide details below

Family & Close Associates

List any immediate family members or close associates who are PEPs, including name, relationship, position, and country.

Acknowledgment, Monitoring & Authorization

I acknowledge that the company maintains procedures for identifying, monitoring, and reporting risks associated with PEP status. I consent to ongoing screening of my name and related personal data against relevant internal and external watchlists and risk databases as required by company policy and applicable law.

I authorize the company to contact previous employers, financial institutions, and other third parties for the purpose of verifying information provided and conducting risk-based due diligence, including background and sanctions screening.

Consent to screening and verification: I consent to the screening, verification, and monitoring described above.

Employment History

Employer 1

Company Name Job Title

Dates Employed: From To

Primary Responsibilities Reason for Leaving

Employer 2

Company Name Job Title

Dates Employed: From To

Primary Responsibilities Reason for Leaving

Education

Highest Degree Institution

Graduation Date:

References (Professional)

Reference 1

Reference 2

Reference 3

Legal Disclosures & Certification

AT-WILL EMPLOYMENT: Where applicable, nothing in this form or in any representations made during the re-signing process modifies the at-will nature of employment, which may be terminated by either the employee or the company at any time, with or without cause and with or without notice, unless a written agreement signed by an authorized company officer specifies otherwise.

EQUAL OPPORTUNITY: The company is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, disability, or any other characteristic protected by law. Disclosure of PEP status will be used solely for legitimate business and compliance purposes and will be treated in accordance with applicable privacy and employment law.

Certification: I certify that all information provided in this Employee PEP Re-sign Form is true, accurate, and complete to the best of my knowledge. I understand that omission or misrepresentation of material information may result in disciplinary action up to and including termination. I authorize the company to verify any information contained herein and to obtain any information required for compliance or due diligence purposes.

I acknowledge receipt of and agree to comply with the company's PEP/AML-related policies, including prompt reporting of any material change in my PEP status.

Certification Confirmation: I certify and confirm the statements above.

Employee Name:

Signature:

Date:

What the Employee PEP Re-sign Form Is

The Employee PEP Re-sign Form is a compliance document used by employers and regulated entities to reconfirm an employee's status and related disclosures as a Politically Exposed Person (PEP). It documents the employee's current role, relevant affiliations, any changes in political exposure, and required attestations for ongoing monitoring. The form is commonly used in financial services, government contractors, and other regulated sectors to refresh risk profiles, maintain audit trails, and satisfy periodic due-diligence obligations without creating a new hire record.

Why periodic PEP re-signing matters

Regular re-signing ensures that an employer maintains an up-to-date record of potential political exposure, supports AML/CFT screening and internal controls, and creates a verifiable audit trail for regulatory review.

Who completes and reviews this form

Clear role separation reduces processing errors and ensures the form is complete, verifiable, and retained according to policy.

Compliance teams and officers: Maintain monitoring schedules, review changes, and escalate risk findings to senior compliance personnel for remediation.
Human resources staff: Record receipt, verify employee identity, and attach the form to the personnel file for retention and auditing.
Employees (PEP subjects): Provide updated affiliations, sign attestation, and disclose new conflicts or roles that affect exposure.

Core pieces to include in a professional Employee PEP Re-sign Form

A complete re-sign form groups identity, role details, disclosure questions, attestations, signature block, and routing instructions so reviewers can quickly assess exposure and document consent.

Identity

Full legal name, employee ID, date of birth, and government ID reference so identity matches HR and screening records and prevents mismatched records.

Current Role

Job title, department, and reporting line with start date and whether duties include public-facing or procurement-related responsibilities that raise review priority.

Affiliations

List of political offices, immediate family public roles, and board memberships that may create enhanced monitoring or disclosure obligations.

Risk Questions

Targeted yes/no items on foreign public office, recent campaigns, gifts, and contracts with government entities to surface potentially material exposure.

Attestation

Employee affirmation of accuracy, consent to monitoring, and acknowledgement of reporting obligations to preserve legal defensibility and auditability.

Signature

Date, printed name, and signer method (handwritten, e-signature type) plus verifier initials or electronic audit trail reference for chain-of-custody.

Required data fields at a glance

Employee Name: Full legal name

Employee ID: Company identifier

Effective Date: MM/DD/YYYY

PEP Status: Current / Updated

Attestation: Signed consent

Verifier: Reviewer initials

Step-by-step: completing and routing the PEP re-sign form

Follow these sequential steps to ensure accurate completion, approval, and retention of the Employee PEP Re-sign Form.

01

Step 1: Employee reviews and completes form fields.
02

Step 2: Attach supporting details for any affirmative disclosures.
03

Step 3: Compliance reviews disclosures and updates risk tags.
04

Step 4: HR files the signed form in the personnel record.

Configuring an online PEP re-sign workflow

Map form fields, signer roles, and automatic routing so the re-sign process runs reliably and creates an audit trail.

Field	Configuration
Identity Fields	Auto-populate from HR system; read-only for employee
Conditional Questions	Show follow-up fields only when disclosure answers are yes
Signer Roles	Employee first, compliance reviewer second, HR attestation third
Retention Tagging	Label record with retention policy and export format

Digital signing and system needs

Ensure the platform complies with ESIGN/UETA and any industry-specific rules; confirm whether a BAA or additional controls are needed for sensitive data.

Authentication: Email, SMS, or stronger
Audit Trail: IP and timestamp
Integrations: HR and compliance systems

Where to file or send the completed form

After completion, route documents to the correct custodians and systems so they become part of the official employee record and compliance archive.

Employee: Retain personal copy for records
Compliance: Receive disclosures for risk review
Human Resources: Attach signed form to personnel file
Central Archive: Store final PDF with audit trail

Download, export, and storage options

Export formats and storage choices affect accessibility, legal admissibility, and long-term retention — plan formats to satisfy audits and litigation holds.

PDF with Audit Trail

Export a single PDF that embeds the signature certificate and audit metadata so reviewers can verify signer identity and signing events in one document.

CSV Metadata Export

Export form metadata as CSV for bulk reporting and ingestion into compliance dashboards for trend analysis and oversight.

Cloud Storage

Store copies in an access-controlled cloud folder with backups and role-based permissions to meet internal retention and e-discovery needs.

Local Archive

Retain a secure local backup of finalized PDFs where required by policy or if regulatory guidance mandates on-premises retention.

Common mistakes to avoid

Missing identity matches between the form and HR records leading to failed screening and duplicate profiles during automated checks.
Incomplete follow-up details when disclosures are affirmative, causing delays while compliance requests supplemental documentation or clarification.
Using unsecured email or storage for signed forms, which risks unauthorized access and weakens chain-of-custody evidence.
Failing to record the signing method or audit metadata, making it difficult to demonstrate intent and attribution during external review.

Consequences of incorrect or missing re-sign records

Regulatory Exposure: Enforcement risk

Operational Delay: Onboarding holds

Reputational Risk: Stakeholder scrutiny

Audit Findings: Remediation required

Fines: Possible penalties

Record Rework: Additional cost

eSignature vendor comparison for PEP re-sign workflows

Choose a vendor that balances cost, compliance, and integrations. The table compares starting price and key capabilities across common providers.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	7-day free trial	Varies by plan	Varies by plan	Varies by plan	Varies by plan
Bulk Send	Yes	Yes	Yes	Yes	No
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No
Envelope Cap	No cap	100 envelopes/user/year	Varies by plan	Varies by plan	Varies by plan

Real-world examples of re-sign form use

Examples show how different organizations implement periodic PEP re-signing and what operational benefits they report.

Optica Ventures — Compliance Streamlining

Optica automated quarterly PEP confirmations for senior staff to reduce manual follow-up.

Resulted in consistent audit-ready records with automated reminders.
The change saved time on manual tracking and improved turnaround on disclosure reviews while preserving verifiable electronic audit trails for regulators.

Martin Properties — Remote Execution

Martin Properties used remote signing for offsite employees to capture attestations quickly.

Remote notarization and e-signatures reduced physical meetings.
This approach kept personnel records current during high turnover periods and simplified evidence collection for internal audits.

Practical tips for accurate and efficient completion

Adopt a consistent process and supporting controls to minimize risk and accelerate review cycles.

Standardize field values

Use controlled picklists for titles, departments, and relationship types to avoid free-text variations that break automated matching and reporting.

Require supporting detail

When disclosures are affirmative, require structured follow-up fields and documentation uploads so compliance can assess materiality without back-and-forth.

Use conditional routing

Automatically route forms with affirmative answers to senior compliance reviewers and flag records in the monitoring system for enhanced due diligence.

Keep an audit trail

Capture signer authentication method, IP address, timestamps, and field-change history to demonstrate intent, attribution, and integrity for regulator inquiries.

Who should sign or approve the form

Compliance Officer

The compliance officer or their delegate should review disclosures, determine risk level, and sign an internal attestation confirming review and any subsequent monitoring steps or escalations.

HR Representative

An HR representative should verify identity and retention tagging, ensure the signed form is attached to the personnel file, and confirm administrative controls for access and retention.

Typical timelines and processing expectations

Set clear deadlines for employee completion and internal review to maintain up-to-date monitoring and reduce regulatory risk.

Employee completion window:

14 calendar days from issuance

Compliance review period:

3–5 business days after employee submission

Notarization turnaround:

Same-day to 3 business days if required

Escalation timeline:

Immediate if high-risk disclosure identified

Record closure:

Form finalized and archived within 7 business days

Frequently asked questions and solutions

Answers address common issues in completion, signing, authentication, storage, and post-signature corrections for the Employee PEP Re-sign Form.

Need help? Contact support

Can the re-sign form be completed electronically?
Yes. Electronic signatures are legally enforceable under the ESIGN Act (15 U.S.C. ch. 96) and UETA where adopted. Ensure the signer demonstrates intent, consents to electronic records, the signature is attributable, and the record can be retained and reproduced.
When is notarization required?
Most internal PEP re-sign forms do not require notarization, but state-specific or contractually required notarial acknowledgement may apply. Check jurisdictional rules or contract clauses before requiring notarization.
What if the employee refuses to sign?
Document the refusal, escalate to HR and compliance, and follow internal disciplinary or contractual steps. Maintain documentation of attempts to obtain the signature and any remedial actions taken.
How do I correct a signed form?
If an error is clerical, create and sign an amendment or replacement form and attach both the original and corrected versions with a clear audit note explaining the change and approval.
Is a scanned handwritten signature acceptable?
A scanned image can be accepted if the signing event includes an audit trail proving signer intent and attribution. For higher assurance consider stronger authentication or cryptographic signatures where required.
How long should signed forms be stored?
Retain per your internal retention policy and legal obligations; follow federal minimums and industry rules (for example, IRS, HIPAA) and note state variations when applicable.

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