Where they hold approval

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

  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • SMF18 Other Overall Responsibility (26 Sep 2024 to 22 Oct 2025)
    • [FCA CF] Manager of certification employee (31 Jul 2024 to 8 Aug 2024)
    • [FCA CF] Material risk taker (1 Jan 2022 to 26 Sep 2024)
    • [FCA CF] Significant management (10 Jun 2020 to 26 Sep 2024)
    • SMF5 Head of Internal Audit (10 Dec 2018 to 16 Sep 2020)
    • SIMF5 Head of Internal Audit Function (1 Jan 2018 to 9 Dec 2018)
    • CF11 Money Laundering Reporting (19 Aug 2008 to 31 Mar 2012)
    • CF10 Compliance Oversight (11 Feb 2008 to 21 Aug 2015)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • [FCA CF] Manager of certification employee (31 Jul 2024 to 31 Oct 2025)
    • [FCA CF] Significant management (10 Jun 2020 to 31 Oct 2025)
    • SMF5 Head of Internal Audit (9 Dec 2019 to 16 Sep 2020)
    • CF28 Systems and controls (1 Jan 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Aug 2008 to 31 Mar 2012)
    • CF10 Compliance Oversight (11 Feb 2008 to 21 Aug 2015)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • [FCA CF] Material risk taker (1 Jan 2022 to 31 Oct 2025)
    • [FCA CF] Manager of certification employee (10 Jun 2020 to 31 Oct 2025)
    • [FCA CF] Significant management (10 Jun 2020 to 31 Oct 2025)
    • SMF5 Head of Internal Audit (9 Dec 2019 to 16 Sep 2020)
    • CF28 Systems and controls (1 Jan 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Aug 2008 to 31 Mar 2012)
    • CF10 Compliance Oversight (11 Feb 2008 to 21 Aug 2015)
  • ST. JAMES'S PLACE INVESTMENT ADMINISTRATION LIMITED (no longer approved here)

    FRN 622916

    • [FCA CF] Material risk taker (1 Jan 2022 to 31 Oct 2025)
    • [FCA CF] Significant management (10 Jun 2020 to 31 Oct 2025)
    • [FCA CF] Manager of certification employee (10 Jun 2020 to 6 Sep 2024)
    • SMF5 Head of Internal Audit (9 Dec 2019 to 16 Sep 2020)
    • CF28 Systems and controls (1 Jan 2018 to 8 Dec 2019)
  • St. James's Place Partnership Services Limited (no longer approved here)

    FRN 719983

    • [FCA CF] Significant management (9 Dec 2019 to 9 May 2020)
  • ST. JAMES'S PLACE INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 155241

    • CF28 Systems and controls (7 Jan 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.