Karen Ling Goodman

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.

  • AJ Bell Securities Limited

    FRN 155593

    • SMF3 Executive Director (since 15 Sep 2021)
    • SMF4 Chief Risk (since 15 Sep 2021)
    • SMF16 Compliance Oversight (15 Sep 2021 to 10 Nov 2025)
  • AJ Bell Management Limited

    FRN 211468

    • SMF3 Executive Director (since 15 Sep 2021)
    • SMF4 Chief Risk (since 15 Sep 2021)
    • SMF16 Compliance Oversight (15 Sep 2021 to 10 Nov 2025)
  • AJ Bell Asset Management Limited

    FRN 774048

    • SMF4 Chief Risk (since 15 Sep 2021)
    • SMF3 Executive Director (since 15 Sep 2021)
    • SMF16 Compliance Oversight (15 Sep 2021 to 10 Nov 2025)
  • Accord Mortgages Limited (no longer approved here)

    FRN 305936

    • [FCA CF] Manager of certification employee (1 May 2020 to 17 Sep 2021)
    • [FCA CF] Material risk taker (1 May 2020 to 17 Sep 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (3 Mar 2020 to 1 Sep 2021)
  • Norwich and Peterborough (LBS) Limited (no longer approved here)

    FRN 454265

    • [FCA CF] Material risk taker (1 May 2020 to 17 Sep 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (3 Mar 2020 to 1 Sep 2021)
  • Yorkshire Building Society (no longer approved here)

    FRN 106085

    • [FCA CF] Manager of certification employee (17 Oct 2019 to 17 Sep 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Oct 2019 to 1 Sep 2021)
    • [FCA CF] Material risk taker (1 Jul 2019 to 17 Sep 2021)
    • [PRA CF] Significant risk taker or Material risk taker (1 Jul 2019 to 17 Sep 2021)

Recent activity

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

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