Lisa Flood
About Lisa Flood
Lisa Flood serves as the Head of Compliance and Designated Person for Regulatory Compliance at Legal & General since 2020, and has over 11 years of experience in the financial services sector, currently holding a senior role at Davy since 2012.
Work at Legal & General
Lisa Flood has served as the Head of Compliance and Designated Person for Regulatory Compliance at Legal & General since 2020. In this role, she oversees compliance operations and ensures adherence to regulatory standards within the organization. Her position involves implementing compliance frameworks and strategies to mitigate risks associated with regulatory obligations.
Current Role at Davy
In addition to her role at Legal & General, Lisa Flood has been a Senior Compliance Executive at Davy since 2012. She has held the position of Compliance Manager at Davy since 2017. Her responsibilities include managing compliance processes and ensuring that the organization meets regulatory requirements in the financial services sector.
Education and Expertise
Lisa Flood holds a Bachelor of Law Degree (LLB) from the National University of Ireland, Galway, which she completed in 2007. She has furthered her education with multiple professional certifications, including a Professional Diploma in Compliance and a Professional Certificate in Financial Crime Prevention from University College Dublin. Additionally, she earned an Advanced Diploma in Corporate, White Collar and Regulatory Crime from The Honorable Society of King's Inns.
Background in Financial Services
With over 11 years of experience in the financial services industry, Lisa Flood has developed expertise in various compliance-related areas. Her specializations include anti-money laundering (AML), counterterrorism financing (CTF), and corporate governance. She has also been involved in fraud investigations and cybersecurity, contributing to her comprehensive understanding of compliance challenges in the sector.
Regulatory Compliance Initiatives
Lisa Flood has been appointed as a Designated Person for Compliance for funds, aligning with the Central Bank's CP86 guidelines. Her role includes ensuring that compliance measures are effectively implemented and maintained within the organization, focusing on regulatory frameworks such as CRD IV, MiFID, AIFMD, and UCITS.