TABLE OF CONTENTS

Overview

Every user in First AML is assigned exactly one role which determines what each user can see and do across the platform.


Roles fall into two groups:


Organisation roles apply across your entire account. A user with an Organisation role can work across every office in your organisation, depending on what their role allows.


Office-based roles are scoped to one or more specific offices. A user with an Office-based role only sees cases, alerts, and activity within the offices they're assigned to. Most users fall into this group.


Only Compliance Admins can assign or change a user's role. Office Admins and Team Admins can add and remove users from their team, but they cannot change anyone's permissions.


For instructions on adding, editing, or removing users, see How to create/remove/edit users.


  • Compliance Admin
  • Compliance Office Approver
  • Compliance Office Member
  • Frontline


Roles


The list below describes each role, what it allows, and who it's typically used for.



Organisation: across the whole account


Office: within the offices the user is assigned to


Assigned only: only items assigned directly to them



*Profile access can be set to limited access which means user roles with this * will be able to see limited information based on office privacy settings.


Organisation Roles


Compliance Admin 

Full access across the entire organisation, including managing users, configuring the platform, managing exceptions and integrations, and downloading reports. Typically used for the person who owns AML for your whole organisation, such as your AMLCO or MLRO.


Author

Creates and progresses cases across the organisation, including draft cases. Cannot approve cases. Typically used for fee earners, partners, or advisors who request CDD on their clients but rely on compliance to do the AML work and sign it off.


Auditor 

Gives external auditors direct access to closed cases, so your AML work is audit-ready without any prep. Auditors view closed cases only, with no access to live cases, alerts, or ongoing monitoring.


Read-Only 

Views all live and closed cases across the organisation, including alerts and ongoing monitoring, but cannot create, edit, or approve anything. Typically used for senior leadership who need ongoing visibility into AML activity.


Agent / Frontline

Creates cases and sends Secure Web Forms across the organisation. Cannot view documents, run reports, or see other users' cases. Typically used for real estate agents and other frontline staff who collect customer information but don't carry out CDD themselves. This role appears in older customer accounts that pre-date office-based setup. If you have an office base set up you should use Agent Office / Frontline Office instead. All new Platforms will have an office built into them so please review Agent Office / Frontline Office. 


Office-based Roles


Compliance Office Admin 

The senior compliance role for an office. Completes and approves CDD, manages screening and periodic alerts, and handles case requirements within assigned offices. Can also add and remove users in any role except Compliance Admin. Typically used for the AMLCO or senior compliance lead of a branch or office who also manages user access for their team.


Compliance Office Approver 

Completes and approves CDD, manages screening and periodic alerts, and handles case requirements within assigned offices. Cannot manage users. Typically used for compliance leads who sign off on CDD but don't handle user management.


Compliance Office Member

 Day-to-day compliance role for an office. Carries out CDD work and manages requirements within assigned offices. Cannot approve or rework cases. Typically used for compliance analysts and senior administrators who handle CDD without signing it off.


Office Admin 

Adds and removes users in lower-permission roles (Agent/Frontline, Office Assistant, Team Member) within assigned offices. Cannot add other Admins or any Compliance role, and cannot approve cases or download reports. Typically used for office managers who handle team access but not approval or compliance work.


Team Admin 

Adds and removes Team Members within assigned offices. Cannot add or remove any other role, approve cases, or download reports. Typically used for team leads who need to add staff to their team but shouldn't manage broader office access.


Office Assistant 

The office-based version of Author. Creates and progresses cases within assigned offices, including draft cases. Cannot approve cases. Typically used for branch-level administrators or case originators.


Team Member 

Works on and progresses cases assigned directly to them. Cannot see cases their colleagues are working on, even within the same office. Typically used for staff who should only see their own caseload.


Agent Office / Frontline Office 

Creates cases and sends Secure Web Forms within assigned offices. Cases are limited to those assigned to them. They cannot view documents, run reports, or see other cases in the office. Typically used for real estate agents, fee earners, and other frontline staff who initiate cases, collect initial information, and may complete early steps like risk assessment, before handing off to compliance for CDD.


Troubleshooting


Question: How do I decide which role to assign?


Roles in First AML are based on what a user does day-to-day, not on their job title. The same job title can map to different roles in different organisations, so use the questions below to find the right fit:

  • Does this person approve and sign off on CDD? If yes, they need a Compliance role (Compliance Admin, Compliance Office Approver, or Compliance Office Member).
  • Do they work across the entire organisation, or just one or more specific offices? Organisation-wide work needs an Organisation role; office-scoped work needs an Office-based role.
  • Do they need to manage other users? If yes, consider Compliance Admin, Office Admin, or Team Admin depending on scope.
  • Do they only need to view AML activity, not act on it? If yes, Read-Only (for ongoing visibility) or Auditor (for closed cases only) is the right fit.


Refer to the Roles section above for the full list of what each role allows.


Question: I can't see a case I expected to see


Case visibility depends on your role and office assignments. Common causes:

  • You have the Team Member, Agent/Frontline role and the case isn't assigned directly to you. Team Members only see their own assigned cases.
  • You have an Office-based role and the case is in an office you're not assigned to.
  • You have the Auditor role and the case is still live. Auditors only see closed cases.
  • You have the Agent/Frontline or Agent Office/Frontline Office role and the case wasn't assigned to you.

To check your role and assigned offices, ask a Compliance Admin to view your account in Sidebar > Users.


Question: I can't approve a case


Only Compliance roles can approve cases. Specifically:

  • Compliance Admin can approve any case across the organization.
  • Compliance Office Approver can approve cases within their assigned offices.


If you need approval rights, ask a Compliance Admin to change your role.


Question: I can't download reports 


Only Compliance Admins can download reports. Other roles can download case documents, but not the reports themselves. If the user needs reporting access, they'll need to be assigned the Compliance Admin role.


How to Edit User Roles

To edit user roles, you must have a user management capable role in the above tables.


Step 1: Click on the ‘Users’ Tab on the left navigation bar

Step 2: Click on the Grey Pencil on the right of the user details

Step 3: Click on the ‘Role’ field to drop down the options and select the role

Step 4: Click ‘Save user’