Kimberley Margaret Smart

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Where they hold approval

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

Goldman Sachs International Bank
FRN 124659
- [PRA CF] Significant risk taker or Material risk taker (since 7 Mar 2016)
Goldman Sachs International
FRN 142888
- [PRA CF] Significant risk taker or Material risk taker (since 7 Mar 2016)
Goldman Sachs Bank USA
FRN 582328
- [PRA CF] Significant risk taker or Material risk taker (since 7 Mar 2016)
FIL Investment Services (UK) Limited (no longer approved here)
FRN 121939
- SMF5 Head of Internal Audit (9 Dec 2019 to 11 Feb 2021)
- CF28 Systems and controls (7 Jan 2019 to 8 Dec 2019)
Financial Administration Services Limited (no longer approved here)
FRN 122169
- SMF5 Head of Internal Audit (9 Dec 2019 to 11 Feb 2021)
- CF28 Systems and controls (7 Jan 2019 to 8 Dec 2019)
FIL Investments International (no longer approved here)
FRN 122170
- SMF5 Head of Internal Audit (9 Dec 2019 to 11 Feb 2021)
- CF28 Systems and controls (7 Jan 2019 to 8 Dec 2019)
FIL Pensions Management (no longer approved here)
FRN 144345
- SMF5 Head of Internal Audit (9 Dec 2019 to 11 Feb 2021)
- CF28 Systems and controls (7 Jan 2019 to 8 Dec 2019)
FIL Investment Advisors (UK) Limited (no longer approved here)
FRN 159360
- SMF5 Head of Internal Audit (9 Dec 2019 to 11 Feb 2021)
- CF28 Systems and controls (7 Jan 2019 to 8 Dec 2019)
FIL Wealth Management Limited (no longer approved here)
FRN 464968
- SMF5 Head of Internal Audit (9 Dec 2019 to 11 Feb 2021)
- CF28 Systems and controls (7 Jan 2019 to 8 Dec 2019)

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.