William James Carroll

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Where they hold approval

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

Monmouthshire Building Society
FRN 206052
- SMF1 Chief Executive (since 20 Oct 2017)
- Responsible for Insurance Distribution (1 Oct 2018 to 9 Nov 2018)
- Responsible for Insurance Mediation (20 Oct 2017 to 30 Sep 2018)
- SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 20 Oct 2017)
- SMF2 Chief Finance (7 Mar 2016 to 20 Oct 2017)
- CF28 Systems and controls (1 Dec 2014 to 6 Mar 2016)
- CF1 Director (30 Apr 2009 to 6 Mar 2016)
- CF11 Money Laundering Reporting (1 Nov 2007 to 6 Mar 2016)
Celtic Credit Union Limited (no longer approved here)
FRN 232150
- Director of firm who is not a certification employee or a SMF manager (18 May 2021 to 20 Sep 2022)

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.