Segregation of Duties Matrix Review
Find combinations of access that need extra controls.
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Review segregation of duties. Roles and the tasks each can perform in finance systems: [ROLE_TASK_MATRIX]. Number of finance staff: [STAFF_COUNT]. Identify conflicting combinations, such as creating a supplier and approving payments, or raising and approving invoices. For small teams where separation is impossible, propose compensating controls: independent review, limits, logging and rotation. Return a conflict matrix, a prioritised list, and compensating controls. This is a defensive design exercise. Add a worked conflict matrix: Anna can create suppliers, enter invoices and approve payments, three conflicting tasks; Ben can approve payments and reconcile bank statements, two conflicting tasks; Chris can only enter invoices, no conflict. Priority: remove Anna's approval right or add a second approver for her payments. Compensating controls where staff numbers are small: a monthly review by the owner of a list of payments by approver, a limit on single payments and a rule that bank reconciliation is done by someone who does not make payments. Add a table and an action plan with dates.
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