INDI Division S1.4.A Skills

S1.4.1 Research the firm's organisation and its requirements to help inform a compliance policy
S1.4.2 Develop, communicate and implement a compliance policy
S1.4.3 Develop and monitor compliance controls
S1.4.4 Keep up to date with regulatory developments
S1.4.5 Support the staff in the firm to maintain compliance and assist the governing body in developing the compliance culture of the firm
S1.4.6 Write and present compliance reports
S1.4.7 Consider and advise on the regulatory implications of new business strategies
S1.4.8 Plan and deliver compliance training
S1.4.9 Maintain an effective relationship with relevant external bodies and respond to requests on consultations
S1.4.10 Deal with complaints regarding non-compliance
S1.4.11 Identify, investigate and resolve non-compliant activity within the firm
S1.4.12 Inform regulatory bodies of breaches in rules and regulations
S1.4.13 Develop and monitor the firm's compliance with its training and competency programme and training and competency document
Derived from QFCRA RM/2014-5 (as from 1st January 2015)