Steve Moorley

Compliance Manager @Croner Group Limited

GB

o Analyse full sales process to ensure sales procedures are compliant with regulatory authorities including the Financial Conduct Authority (“FCA”) o Assessment of Business Development Managers for quality and compliance standards o Oversee quality assessment process for sales and service calls. o Conduct compliance investigations as and when required and advise on themes and trends. o Responsible for the overall design, implementation, and ongoing enhancement of compliance procedures, whilst ensuring its alignment with business objectives o Responsible for the implementation and monitoring of compliance controls including carrying out regular spot checks of websites, emails, letters, documents, and processes. o Internal auditing of processes and procedures from a compliance perspective, particularly those procedures relating to the sales process. o Develop an effective education and engagement program through ongoing communication and training to senior management. o Responsible for regulatory reporting