Admin
Owns organization setup and access to the reporting workspace.
Can
- Manage Organizations, business units, team members, Users
- View Assessments, regulatory returns, operation receipts
- Regulatory Reporting
- Roles and Access
Who can do what in Regulatory Reporting
Give assessment, testing, remediation and approval work to the right people.
How permissions work
Start with organization scope
Map each team member to the organization and user identity they represent.
Separate preparation and decision
The Reporting Analyst prepares the return, the Control Owner submits it, and an Independent Assurance Reviewer decides.
Keep ownership visible
Assessment, control, risk and corrective-action records name the people responsible for them.
Review evidence access
Attachment visibility distinguishes internal from shared material; confirm the intended audience before adding files.
Who can do what
| Role | Assessment Planning | Risk and Controls | Control Testing | Findings and Remediation | Regulatory Returns | Review and Evidence |
|---|---|---|---|---|---|---|
| Admin | Edit | Edit | — | — | Edit | View |
| Control Owner | Edit | Edit | Edit | Edit | Edit | View |
| Control Tester | View | View | Edit | Edit | — | Edit |
| Remediation Owner | View | — | — | Edit | — | — |
| Independent Assurance Reviewer | View | — | View | Edit | Edit | Edit |
| Reporting Analyst | View | — | — | View | Edit | View |
Each role in detail
Control Owner
Defines assessment scope, owns controls and submits return packages.
Can
- Manage Risks, Controls, Assessments, regulatory returns
- View assessment tests, Findings, review decisions
Starts on: Assessment period schedule
Control Tester
Documents sample-based tests and the evidence behind each result.
Can
- Manage assessment tests, record attachments, Findings
- View Assessments, Controls, Risks
Starts on: Assessment period schedule
Remediation Owner
Completes corrective work assigned to findings.
Can
- Manage corrective actions
- View Findings, Assessments, Retests
Starts on: Open findings
Independent Assurance Reviewer
Makes assessment and return decisions and records independent retests.
Can
- Manage review decisions, Retests, regulatory returns
- View Assessments, assessment tests, Findings, record attachments, operation receipts
Starts on: Returns awaiting decision
Reporting Analyst
Prepares the return package and checks its source assessment and receipt.
Can
- Manage regulatory returns
- View Assessments, review decisions, Findings, operation receipts
Starts on: Returns awaiting decision
Set up Regulatory Reporting your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.