Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Oppenheimer Europe Ltd.
FRN 483856
- SMF16 Compliance Oversight (since 24 Mar 2025)
- SMF3 Executive Director (since 4 Dec 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- [FCA CF] Significant management (4 Dec 2020 to 9 Dec 2025)
- [FCA CF] CASS oversight function (4 Dec 2020 to 9 Dec 2025)
- [FCA CF] Material risk taker (4 Dec 2020 to 9 Dec 2025)
- CF11 Money Laundering Reporting (30 Jul 2019 to 8 Dec 2019)
- CF28 Systems and controls (30 Jan 2015 to 8 Dec 2019)
- CF29 Significant management (5 Jun 2013 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.