James Jackson

Watch for changes

Where they hold approval

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

DZ Bank AG, Deutsche Zentral-Genossenschaftsbank
FRN 114029
- SMF16 Compliance Oversight (since 22 Nov 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Nov 2024)
Optiva Securities Limited (no longer approved here)
FRN 181192
- SMF3 Executive Director (30 Jan 2023 to 11 Dec 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (26 Jul 2022 to 11 Dec 2023)
- SMF16 Compliance Oversight (26 Jul 2022 to 11 Dec 2023)
- [FCA CF] Manager of certification employee (1 Jan 2021 to 17 Jan 2024)
- [FCA CF] Client dealing (9 Dec 2020 to 17 Jan 2024)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.