Flora Parker

Background

About Flora Parker

I am a dedicated individual, fully proficient in the MiFID II directive and associated regulations to ensure that companies meets their regulatory obligations, keeping fully up to date with changes in the industry and regulations. I successfully implemented the Business Continuity Management Plan in line with regulatory requirements during the height of the pandemic, ensuring the business continued to meet their regulatory obligations and client needs. I am adaptable and deal with change in a proactive manner. A self motivated compliance professional with over 30 years industry experience - Are you compliant? Are you sure? Do you fully understand the requirements & implications? Are you doing things right. Key achievements include- Implementing a robust compliance function, including policy setting and risk-based compliance monitoring - Experience with dealing with Regulators - Successfully preparing firms for authorisation and applications for new firms to become regulated, ensuring that they met the threshold conditions and understand their regulatory obligations - Successfully educating newly authorised firms through the requirements and implications of meeting the threshold conditions - Successfully preparing firms for regulatory visits / inquiries with favorable regulatory outcomes - Provide consultancy service for s166 reviews - Internal Procedures meeting with regulatory requirements - Successfully dealt with regulatory investigation which subsequently closed with no actions being taken- Complaints Manager - AMLO