Admin
Sets organization access and maintains the people and business units used to scope work.
Can
- Manage Organizations, business units, team members, Users
- View Assessments, regulatory obligations, operation receipts
- Compliance Management
- Roles and access
Who can do what in Compliance Management
Assign responsibility for scope, testing, correction and independent review.
Who can do what
| Role | Obligations | Risks and controls | Assessments | Control testing | Findings and remediation | Review and evidence |
|---|---|---|---|---|---|---|
| Admin | Edit | Edit | View | — | Edit | Edit |
| Compliance Lead | Edit | View | Edit | View | View | Edit |
| Control Owner | — | Edit | View | Edit | Edit | — |
| Tester | — | View | View | Edit | Edit | View |
| Remediation Owner | — | View | View | View | Edit | — |
| Independent Reviewer | View | — | View | Edit | Edit | Edit |
Each role in detail
Compliance Lead
Owns assessment scope, obligation review routing and the operating record for the compliance program.
Can
- Manage Assessments, regulatory obligations, record attachments
- View Risks, Controls, assessment tests, Findings, review decisions, operation receipts
Starts on: Assessment schedule
Control Owner
Maintains a control and the risk it addresses, then responds to test exceptions.
Can
- Manage Risks, Controls
- View Assessments, assessment tests, Findings, corrective actions
Starts on: Active controls
Tester
Records control tests and identifies findings for assessment review.
Can
- Manage assessment tests, Findings
- View Assessments, Controls, record attachments
Starts on: Assessment schedule
Remediation Owner
Plans and completes corrective work assigned to a finding.
Can
- Manage corrective actions
- View Findings, Retests, Controls, Assessments
Starts on: Findings needing action
Independent Reviewer
Decides submitted obligation reviews and records independent follow-up tests.
Can
- Manage review decisions, Retests
- View regulatory obligations, Assessments, Findings, corrective actions, assessment tests, record attachments
Starts on: Corrections awaiting verification
Set up Compliance Management your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.