Susanne Ballauff

Watch for changes

Where they hold approval

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

Wellington Management International Limited (no longer approved here)
FRN 208573
- Director of firm who is not a certification employee or a SMF manager (8 Apr 2024 to 30 Jun 2025)
- SMF11 Chair of the Audit Committee (19 May 2023 to 8 Apr 2024)
- SMF3 Executive Director (9 Dec 2019 to 19 May 2023)
- CF1 Director (12 Jan 2018 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (18 Aug 2005 to 31 Oct 2007)
J.P. Morgan Europe Limited (no longer approved here)
FRN 124579
- CF21 Investment Adviser (1 Feb 2005 to 15 Jun 2005)

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.