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Compliance review with Auditor role
A compliance officer needs to review an application — applicant data, underwriting, offers, documents, and activity — without changing status, sending email, or adding notes.
What you use
- Platform overview for the Auditor role
- Application detail to read the file
- Roles, Auditor & sandbox for what Auditor can and cannot do
Worked example
An Auditor at Riverbend is asked to review application 18402 after a fair-lending complaint.
- They sign in with an Auditor role and open Applications.
- They open the file. Tabs for application data, underwriting, offers, documents, and activity are available to read.
- They cannot use Update Status, request OTP, send email, create tasks, or add internal notes. Assignee is visible but not clickable.
- They download a PDF if the review requires an export. They do not change the file.
- They report findings outside the dashboard (your compliance process), using only what they could see.
Best practices
- Use Auditor for read-only reviews. Do not share a Tenant Admin or Underwriter login to “just look.”
- Expect hidden buttons. Do not treat a missing control as the only protection — the server still enforces what Auditor cannot change.
- Align PDF download and any decrypt access with your compliance policy. Auditor can still download PDFs.
- If the reviewer must change status or send email, that is not an Auditor job — assign an Underwriter or Admin.