Compliance officer, roles and team access

You appoint a compliance officer in FreeAML by giving that person the Compliance role. The same roles apply whether you work on your own or with a larger team. Admin and Workspace admin decide who is on the team. Compliance can publish the AML/CTF program and open the audit trail. Staff can send verifications and read compliance documents.

The invite table is in Team roles. This page is how you appoint the officer, add people, change a role, and what the audit trail keeps.

What each role can do

Open Team and start an invite. The Role menu names four roles: Admin, Workspace admin, Compliance, and Staff. The table What this role can do updates as you change the role. A tick means they can do it. Read means they can view it. A dot means they cannot. You do not have to send the invite to read the table.

Admin can manage team details, add and remove people, and change roles, including giving someone else the Admin role. Admin can buy credits and use the shared balance, keep the card on file, and use Connect and payouts. Admin can create and send verifications, and remove a verification from the dashboard. Admin can view their own checks, and teammates' checks when Show data from other team members is on. Admin can publish the AML/CTF program, manage compliance documents, and export the audit trail and the audit pack. On a shared team, Admin can use Bring my past checks into this team.

Workspace admin uses the same column as Admin, with these limits. A workspace admin cannot archive the team, cannot give someone the Admin role, and does not get Bring my past checks into this team. The invite form says a workspace admin runs this firm. They cannot archive it or transfer ownership. On the roster, that seat can show Cannot archive your firm or transfer ownership.

Compliance can buy credits and use the shared balance, create and send verifications, and view their own checks. Compliance can view teammates' checks when Show data from other team members is on. Compliance can publish the AML/CTF program, manage compliance documents, and export the audit trail and the audit pack. On Team, Compliance sees an Audit pack link. Compliance cannot add or remove people, change roles, keep the card on file, use Connect and payouts, or remove a verification from the dashboard.

Staff can buy credits and use the shared balance, create and send verifications, and view their own checks. Staff can view teammates' checks when Show data from other team members is on. Staff can read compliance documents. Staff cannot publish the AML/CTF program, export the audit trail, add or remove people, keep the card on file, use Connect and payouts, or remove a verification. On Audit, Staff see This trail is limited. The page says the team audit trail is for Admins and Compliance.

Show data from other team members is on Verifications. It is your own setting. When it is off, you see checks that are yours. When it is on, you also see checks on teams you belong to. Admin, Workspace admin, Compliance, and Staff all follow that setting. It does not open checks from a team you have not joined.

An older seat can show on the roster as Compliance, with the note Read and evidence export, and sometimes an end date. That seat can view checks under the same setting, read compliance documents, and export the audit trail and evidence. It cannot send verifications, publish the program, or manage the team. A new invite cannot choose it.

The workspace menu at the top right lists teams you belong to. The subtitle can say Owner for an Admin seat, or Workspace admin, Compliance, or Staff. Opening a team does not change what that role can do. See Switch workspaces.

Appoint your compliance officer

1. 1

   Open Team. The invite form is there when your role can add people. Admin and Workspace admin can. If the form is missing, your role cannot add people.

2. 2

   Under Members, enter Email address.

3. 3

   Choose Compliance. The table highlights what Compliance can do.

4. 4

   Select Send invite.

You can also change someone who is already on the team. Next to their email, open the role menu labelled Role for that address and choose Compliance. The new role saves straight away.

Compliance can then publish a version of your AML/CTF program. Open AML/CTF program and select Publish new version. They can open Audit, export CSV or JSON, and download an Audit pack. Staff can read compliance documents that are already there. Create AML program is for Admin, Workspace admin, and Compliance. See Create your AML/CTF program.

If your firm provides a designated service, AUSTRAC expects you to nominate an AML/CTF compliance officer to oversee the program. What that nomination is for is in AUSTRAC compliance officer. The Compliance role is the access you give that person in FreeAML. FreeAML does not lodge the appointment with AUSTRAC.

Add a team member

1. 1

   Open Team.

2. 2

   Under Members, enter Email address. The placeholder is member@example.com.

3. 3

   Choose a Role: Admin, Workspace admin, Compliance, or Staff.

4. 4

   Select Send invite. It reads Inviting... while it sends.

5. 5

   You see Invitation sent to that email. If the invite was saved but the email failed, you see Invitation saved. The email could not be sent.

They sign in with that same email address. See Sign in with an email code. On Team they can follow Review and confirm, or open Join a team. The page says Confirm an invitation before it becomes active and You're invited as the role you picked. They select Confirm and join.

After they join, that team becomes their default workspace. The notice uses the team name and says it becomes your default workspace. New checks they create, from the dashboard or from integrations that follow the default, go there. They can change it in Settings, under Default workspace, then Save default workspace.

Until they confirm, the roster shows Invited. The top of Team says they keep their own past verifications. When finished checks are being brought in, it says their finished checks can move into the team. Credits, cards, payouts, and compliance documents are not copied onto this team. The longer invite steps are in Add or remove a team member.

Change a role

1. 1

   On Team, under Members, open the role menu next to the person. It is labelled Role for and their email.

2. 2

   Choose Admin, Workspace admin, Compliance, or Staff.

3. 3

   The role saves as soon as you choose it.

You cannot change your own role. A Workspace admin cannot change an Admin, and cannot choose Admin for someone else. Your team keeps at least one Admin. If that change would leave none, you see This team needs at least one admin.

Checks already on this team stay on this team. The role change does not move them. Access from then on matches the new role. If this team was their default workspace, it stays the default, because each of these four roles can still create checks.

Remove a team member

1. 1

   On Team, select Remove next to the person.

2. 2

   Confirm Remove and their email from this team.

They lose access to this team. Checks already on this team stay on this team. They are not deleted, and they are not sent back to that person. That person cannot open them unless you invite them again. Checks that stayed on their personal workspace stay there.

If this team was their default workspace, new checks they create go to their personal workspace. The next time they open FreeAML, a notice can say they are no longer in that team and that new checks go to their personal workspace.

You cannot remove yourself. A Workspace admin cannot remove an Admin. Removing the last Admin is blocked, and you see This team needs at least one admin.

What the audit trail records

Invites, joins, role changes, and removals are written to the audit trail. The page calls this record append-only. The labels are Member invited, Member activated, Role changed, and Member removed. An invite records the email and the role. A join records the role they accepted. A role change records the previous role and the new role. A removal records the person and the role they had.

Admin and Compliance open Audit to read and export the trail. Staff do not. The export steps are in Read the audit trail. Program versions are in Create your AML/CTF program.