Simon Ennis

Watch for changes

Where they hold approval

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

Wells Fargo Securities International Limited
FRN 186745
- SMF3 Executive Director (since 28 Jan 2021)
- SMF4 Chief Risk (since 28 Jan 2021)
Wells Fargo Bank, National Association
FRN 456183
- SMF4 Chief Risk (since 28 Jan 2021)
Goldman Sachs International Bank (no longer approved here)
FRN 124659
- [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 27 Dec 2020)

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.