Within Assure, there are two main categories of users, FI and Client. Within each category, there are specific user roles that determine the user’s permissions within the system.
FI Admin User
The Financial Institution’s primary FI Admin user establishes and maintains access to Assure for all employees of the financial institution. FI Admin users have the following abilities and limitations:
Add, Edit and Disable system access for all FI Operations users and FI View-Only users
Does not have access to client or account information.
Can assist with password resets for all users at the Financial Institution
Does not have add, edit or revoke system access for Client Users
Shield Compliance creates FI Admin Users
This user type is commonly used for IT users who do not need access to the system but need to manage users.
There is a limit of 5 FI Admin Users.
FI Ops Admin User
FI Operations users have full access to all information and operational functions in the system, including user management. The FI Admin / FI Ops Admin users are responsible for internal password resets and user management. Shield Customer Support can provide additional support as needed. This user type may create, edit and view the following:
Clients
Accounts
Cases
Compliance Reviews
Communicate and request data from the Client via cases and track completion of tasks
Dashboards (not editable)
Households
May edit licenses in the Client Profile
May receive all email notifications for case alerts the FI has opted to receive
SAR creation and submission (if SAR efile is enabled for the FI)
Users (FI and Client)
Can assist with password resets for all users other than FI Admin at the Financial Institution. Users may reset their own passwords, and Shield Support is available as a second line of support if Admin users are unavailable.
FI Operations User
FI Operations Users have the same access as a FI Ops Admin user, with the exception that they may not manage or create FI Users.
Clients
Accounts
Cases
Compliance Reviews
Communicate and request data from the Client via cases and track completion of tasks
Dashboards (not editable)
Households
May edit licenses in the Client Profile
May receive all email notifications for case alerts the FI has opted to receive
SAR creation and submission (if SAR efile is enabled for the FI)
Client Users
This user type is commonly used for analysts who need access to create and submit SARs.
FI Ops-Limited User
FI Ops – Limited Users are designed to be used by those individuals who should not have access to SAR information. Users set up with FI Ops-Limited User access can create, edit and view the following:
Clients
Accounts
Cases
Compliance Reviews
Dashboards (not editable)
Households
Client Users
This user type is commonly used for managers who also need access to manage users.
FI Ops Limited Reporter
(FI must have the SAR Ready for Review status enabled to utilize this user type)
FI Ops Limited Reporter users have full access to most information (SAR limitations) and operational functions in the system. They can create, edit, and view the following:
Clients
Accounts
Cases
Compliance Reviews
Communicate and request data from the Client via cases and track completion of tasks.
Dashboards (not editable)
Households
May edit licenses in the Client Profile
May receive all email notifications for case alerts the FI has opted to receive.
SAR creation to a “Ready for Review” status but not submission (if SAR efile is enabled for the FI). Will not be able to view SARs with Submitted, Confirmed, and Amended status. SAR information will also not be accessible from Quick Jump Menus and in Reporting.
Client Users
This user type is commonly used for analysts who need access to create SARs but cannot submit SARs (or see submitted SARs).
FI View-Only User
Users set up with FI View Only access can view client, account, case information, and compliance reviews, but are unable to create, edit or delete any information. This user type is commonly used for auditors.
FI View-Only Limited User
Users set up with FI View Only Limited access can view client, account, case information, and compliance reviews but cannot view anything SAR related. Users are unable to create, edit or delete any information.
This user type is commonly used for auditors for financial service providers or financial institutions who want to provide access to relationship managers but not allow them to edit information (nor see SARs).
Client Administrator User
The Client Administrator user is the primary system administrator for the Client. Client users may:
Create additional Client Operations users within their organization(s)
Manage (edit and disable) Client Operations users of the organization
Action cases from Financial Institution
Provide access to outside data sources
Client Operations User
These users have full access to the Client Portal and may do everything a Client Administrator can do except create additional Client users in Assure Client Portal.
Primary Users
Each licensed entity with user(s) who will access the system must have a “primary” contact noted within the system. This contact will receive all client-facing email notifications from Assure. This user will be designated as the “Primary” user for the client. “Primary” user responsibilities may be changed to another user associated with the client by an FI Operations or Client Admin user.
The first admin user will be marked as “Primary”. If this user is deactivated, the next created Admin user will become “Primary”. A different user may be marked as “Primary” by the FI or a Client Admin.
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