Reference · R02
Roles and what each can do
Everyone in your firm has one of three roles: Compliance officer, Senior manager or Case worker (some places call it agent). The role decides what the person can do; it never hides a case from them, because everyone in a firm can see all of the firm’s cases. A fourth kind of person, a guest from another firm, sees only the part of one case they were invited to. eAML’s own staff have separate roles that are not shown here. Where a button is hidden or a save is refused, this page is the reason.
The roles in a sentence
- Compliance officer: runs the AML/CTF program day to day. Sets up the firm, works cases, reviews and submits reports and records. Cannot approve a case, a report or a compliance record: those go to a senior manager.
- Senior manager: everything a compliance officer can do, plus the approvals AUSTRAC gives a senior manager: approving a case, approving a suspicious matter report, and approving compliance records and the program. One person can hold both jobs, but nobody can approve their own work: eAML checks that per person, not per role.
- Case worker (agent): day-to-day case work. Can create and work cases, run checks, send forms and record decisions, but cannot change how the firm is set up, see billing, edit owners, resolve alerts, or approve anything.
- Guest firm: another firm invited into one side of one case (for example the other party’s conveyancer). They can look at that side only, and record their own reliance decision. They cannot change anything on the case.
What each role can do
Yes means the role can do it. No means the button is hidden or the save is refused. Notes are in brackets.
| What you want to do | Compliance officer | Senior manager | Case worker |
|---|---|---|---|
| See every case of the firm | Yes | Yes | Yes |
| Create a case, add parties, answer questions, upload and verify documents | Yes | Yes | Yes |
| Run checks (screening, company register) and record an identity check | Yes | Yes | Yes |
| Send a form or a message, invite another firm to a case, pull a case from the CRM | Yes | Yes | Yes |
| Record a decision on a screening hit, add a risk note, complete risk tiering | Yes | Yes | Yes |
| Add, edit or remove an owner or officer under Beneficial ownership | Yes | Yes | No (can look) |
| Approve or reject a case (senior approval) | No | Yes | No (a jeweller’s sale that is not high risk is decided by the compliance officer) |
| Resolve a monitoring alert | Yes | Yes | No |
| Raise an unusual activity report or an escalation to the compliance officer | Yes | Yes | Yes (a case worker sees only their own drafts) |
| Look at the unusual activity and escalation records others raised | Yes | Yes | No |
| See a suspicious matter report draft | Yes | Yes | Yes |
| Submit a suspicious matter report draft for review | Yes | Yes | No |
| Approve a suspicious matter report draft | No | Yes | No |
| Fill in and save a compliance form or record (the AUSTRAC program) | Yes | Yes | Yes |
| Review a compliance record | Yes | Yes | No |
| Approve a compliance record, and sign off the program | No | Yes | No |
| Invite a colleague, approve a join request, change someone’s access | Yes | Yes | No |
| Edit the organisation’s details and the one-person-firm setting | Yes | Yes | No |
| Set the risk profile | Yes | Yes | No |
| Change the CDD questions and documents your firm uses | Yes | Yes | No |
| Connect a CRM, accounting software, or import a client list | Yes | Yes | No |
| Create or review a reliance arrangement or assessment | Yes | Yes | No |
| See billing, usage and invoices | Yes | Yes | No |
| Pay, top up the prepaid wallet | Yes | Yes | No |
Rules that apply to everyone
- Nobody can change their own access, and nobody can approve their own work: eAML checks the person, not the role, so a senior manager who prepared something still needs someone else to approve it.
- There is no way to remove or disable a login from the product today. An administrator at eAML can change a person’s role.
- Everyone in the firm sees all of the firm’s cases. What differs is what they can do on them.
- Unusual activity and escalation records are restricted so a suspicion does not travel: a case worker can raise one, but only officers see the ones others raised, and the outcome is not shown back to the person who raised it.
- A guest firm sees only the one side of the case it was invited to, and cannot change it.