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Simon Carter

Chief Operations Officer and Compliance Officer

Simon joined Dowgate Capital as Head of Compliance in 2017 and joined the Board as Chief Operating Officer at the beginning of 2020. His responsibilities within the company include managing the company’s operational policies, systems and processes while continuing to manage and oversee the compliance department and being the main point of contact with the FCA. His area of responsibility covers both Dowgate Capital and Dowgate Wealth, where he has also recently joined the board.

Simon has over 20 years of experience in the industry, having held various compliance officer roles at Jupiter Unit Trust Managers, JP Morgan Asset Management and Daiwa Asset Management. He is an associate of the CISI. In principle, he says there is no difference from working at a smaller dynamic business or a start up like Dowgate Wealth: the best interests of the clients are always paramount, supported by robust systems and controls. What he finds refreshing about Dowgate Wealth is that a culture of strong governance is supported by a speed of decision making lacking in larger organisations which makes bespoke wealth management easier to manage and control. To this end, his people management skills mean that any issues that do arise can be dealt with quickly and efficiently.

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