Auditor

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Discussion

An Auditor represents a participant who reviews evidence, traceability, conformance, accountability, or control operation for governed work within a defined audit scope.

The Auditor relies on Work Performed Events, Evidence References, Qualification Profiles, Qualification Evidence, Compensation Claims, Settlement Instructions, Non-Performance Indicators, and applicable governance records. The Auditor determines whether the available records support the claimed work, qualification, compensation, conformance, or settlement treatment.

The Auditor’s primary concerns include evidence, accountability, traceability, conformance, completeness, and reviewability.

Definition

participant reviewing evidence, traceability, conformance, or accountability of governed work within a defined audit scope

Source

Financial Systems Archetype, Part 7: Governed Node Service Market

Note

An Auditor differs from a Regulator. An Auditor reviews evidence and conformance within an audit scope. A Regulator reviews work governed by legal, regulatory, supervisory, or jurisdictional authority. An Auditor may support a Regulator, a Governance Body, a Buyer, an Integrator, or a Qualified Service Provider.

Example

An Auditor reviews a sample of FX processing records and confirms that required sanctions screening work produced Work Performed Events, Evidence References, and Compensation Claims linked to Qualified Nodes and Qualified Service Providers.