Carolyn Sims

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • British International Investment Plc

    FRN 195649

    • SMF3 Executive Director (since 19 Aug 2020)
    • SMF16 Compliance Oversight (15 Dec 2025 to 3 Feb 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (15 Dec 2025 to 3 Feb 2026)
  • Schroder Wealth Management (US) Limited (no longer approved here)

    FRN 781869

    • SMF3 Executive Director (9 Dec 2019 to 29 May 2020)
    • CF1 Director (11 Sep 2017 to 8 Dec 2019)
  • SCHRODER & CO. LIMITED (no longer approved here)

    FRN 144206

    • SMF2 Chief Finance (7 Mar 2016 to 29 May 2020)
    • CF1 Director (9 Aug 2013 to 6 Mar 2016)
  • Lazard & Co., Limited (no longer approved here)

    FRN 114054

    • CF13 Finance (5 Oct 2004 to 2 Apr 2007)
    • CF1 Director (5 Oct 2004 to 2 Apr 2007)

Recent activity

Updates to this individual's record on the FCA register.

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