Financial Audit & Fintech Ops — Roles & Capabilities

The 5 default FINAUDIT roles, the 16-capability catalog, and the Roles/Staff governance screens.

Domain Roles & Capabilities

Financial Audit & Fintech Ops ships out-of-the-box roles under the FINAUDIT domain. Assigning a role to a staff member auto-grants that role’s capabilities as a domain “hat” — an employee can carry a FINAUDIT hat alongside hats in other domains.

Out-of-the-box roles

Role	Purpose	Approver
Chief Audit & Fintech Ops Manager	Full authority across Financial Audit & Fintech Ops — approves variances, credit limits and settlements, owns the whole operation. Holds every FINAUDIT capability.	Yes
Internal Auditor	Runs invoice matching, bank reconciliation and ledger variance analysis, maintains audit rules and chart of accounts.
Compliance & AML Officer	Configures AML/sanctions screening and regulatory reporting, approves ledger variances and settlement runs.	Yes
Treasury Analyst	Monitors cash flow forecasts, FX exposure, credit limits and liquidity buffers.
Payments Operations Specialist	Configures payout routing rules and resolves chargebacks/disputes and escrow lifecycles.

Approver capabilities

Three of the sixteen FINAUDIT capabilities carry approval authority: ledger variance approval (finaudit:variance:approve), credit limit approval (finaudit:creditlimit:approve) and settlement release approval (finaudit:settlement:approve). The Chief Audit & Fintech Ops Manager and Compliance & AML Officer roles both carry at least one approver capability.

Capability catalog

16 capabilities, one per operational screen, all under the finaudit:* namespace, following the finaudit:resource:action naming convention:

Capability	Screen	Approver
`finaudit:auditrules:manage`	Audit Rules Registry
`finaudit:aml:configure`	AML & Sanctions Config
`finaudit:coa:manage`	Chart of Accounts Audit
`finaudit:regreport:configure`	Regulatory Reporting Setup
`finaudit:invoice:audit`	Invoice Matching Audit
`finaudit:bankrecon:manage`	Multi-Source Audit & Reconciliation (Bank Reconciliation)
`finaudit:anomaly:review`	Fraud Detection & Anomaly Audit
`finaudit:variance:approve`	Ledger Variance Audit	Yes
`finaudit:cashflow:view`	Cash Flow Forecast
`finaudit:fxrisk:manage`	FX Exposure & Risk
`finaudit:creditlimit:approve`	Credit Risk & Limits	Yes
`finaudit:liquidity:monitor`	Liquidity Buffer
`finaudit:payoutrules:manage`	Payout Routing Rules
`finaudit:chargeback:resolve`	Chargeback & Dispute
`finaudit:settlement:approve`	Settlement & Clearing	Yes
`finaudit:escrow:manage`	Financial Escrow

Roles & Staff governance screens

The FinAudit Roles screen (fa-roles) uses the shared Roles shell (the same component every add-on uses): each role has a description and a resource-grouped capability picker built from the FINAUDIT capability catalog above. The Audit & Fintech Ops Team screen (fa-finaudit-staff, staff master, title key faStaffTitle) is where roles get assigned to individual staff members.

Auto-grant & multi-hat

Selecting a role when adding staff attaches the role’s capabilities to the employee. An existing employee can carry a FinAudit hat alongside hats in other domains — e.g. a person can be both a Treasury Analyst here and hold a Finance role elsewhere in the same tenant.

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Frequently Asked Questions

Which role should I assign to a new internal auditor?

Internal Auditor — it covers invoice matching, bank reconciliation, ledger variance analysis, audit rules and chart of accounts, without approver authority over variance or settlement decisions.

Can I create a custom role instead of using the 5 defaults?

Yes. The Roles screen lets an admin build any combination of the 16 FINAUDIT capabilities into a custom role; the 5 seeded roles are a starting point, not a restriction.

Does a FINAUDIT role grant access outside this add-on?

No — a FINAUDIT role exposes only FINAUDIT capabilities plus the GLOBAL capabilities every domain inherits (physical/operational basics).

Which roles carry approver capabilities?

The Chief Audit & Fintech Ops Manager holds every capability, including all three approver ones. The Compliance & AML Officer also carries approver authority (ledger variance and settlement). Internal Auditor, Treasury Analyst and Payments Operations Specialist do not carry approver capabilities by default.

How does a staff member get a FINAUDIT role assigned?

Through the Audit & Fintech Ops Team screen — an admin selects a role (or custom capability set) when adding or editing a staff record. The first admin typically gets a role auto-granted when the finaudit package is activated.