James McCourt

Last updated
3 weeks ago
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Where they hold approval

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

  • RLUM Limited

    FRN 144032

    • SMF7 Group Entity Senior Manager (since 4 Apr 2024)
    • SMF4 Chief Risk (9 Dec 2019 to 4 Apr 2024)
    • CF28 Systems and controls (20 Mar 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 Apr 2017 to 2 Apr 2018)
    • CF10 Compliance Oversight (31 Jul 2013 to 2 Apr 2018)
  • Royal London Marketing Limited

    FRN 302391

    • [FCA CF] Manager of certification employee (since 26 Oct 2023)
    • CF28 Systems and controls (20 Mar 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 Apr 2017 to 2 Apr 2018)
    • CF10 Compliance Oversight (20 Jul 2012 to 2 Apr 2018)
  • Royal London Asset Management Limited

    FRN 141665

    • SMF7 Group Entity Senior Manager (since 9 Apr 2020)
    • CF28 Systems and controls (20 Mar 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Jul 2015 to 2 Apr 2018)
    • CF10 Compliance Oversight (20 Jul 2012 to 2 Apr 2018)
  • Royal London Unit Trust Managers Limited

    FRN 144037

    • SMF7 Group Entity Senior Manager (since 9 Apr 2020)
    • CF28 Systems and controls (20 Mar 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Jul 2015 to 2 Apr 2018)
    • CF10 Compliance Oversight (20 Jul 2012 to 2 Apr 2018)
  • Royal London Savings Limited

    FRN 191237

    • SMF4 Chief Risk (since 9 Dec 2019)
    • CF28 Systems and controls (20 Mar 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Jul 2015 to 2 Apr 2018)
    • CF10 Compliance Oversight (20 Jul 2012 to 2 Apr 2018)
  • Royal London Mutual Insurance Society, Limited (THE)

    FRN 117672

    • SMF4 Chief Risk (since 20 Mar 2019)
    • CF29 Significant management (27 Jun 2018 to 9 Dec 2018)
    • CF11 Money Laundering Reporting (10 Jan 2014 to 2 Apr 2018)
    • CF10 Compliance Oversight (20 Jul 2012 to 2 Apr 2018)
  • PMGI Limited (no longer approved here)

    FRN 114942

    • [FCA CF] Significant management (1 Oct 2020 to 29 Feb 2024)
    • [FCA CF] Manager of certification employee (1 Oct 2020 to 29 Feb 2024)
  • Investment Funds Direct Limited (no longer approved here)

    FRN 114432

    • SMF7 Group Entity Senior Manager (9 Apr 2020 to 31 Aug 2020)
    • CF28 Systems and controls (20 Mar 2019 to 11 Oct 2019)
    • CF2 Non Executive Director (27 Jun 2018 to 31 Mar 2019)
    • CF11 Money Laundering Reporting (21 Apr 2017 to 2 Apr 2018)
    • CF10 Compliance Oversight (15 Nov 2013 to 2 Apr 2018)
  • MARCO GAMMA LIMITED (no longer approved here)

    FRN 202793

    • CF10 Compliance Oversight (20 Jul 2012 to 29 Dec 2016)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF1 Director (29 Sep 2011 to 18 Jul 2012)
    • CF10 Compliance Oversight (13 Sep 2010 to 18 Jul 2012)
    • CF11 Money Laundering Reporting (13 Sep 2010 to 18 Jul 2012)

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

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