Simon Carter

Simon Carter Email and Phone Number

Chief Operating Officer at Dowgate Capital Limited and Dowgate Wealth Ltd @ Dowgate Capital Limited
london, london, united kingdom
Simon Carter's Location
Tonbridge, England, United Kingdom, United Kingdom
Simon Carter's Contact Details

Simon Carter personal email

n/a

Simon Carter phone numbers

About Simon Carter

Investment Administration Qualification (IAQ) Investment Management Certificate (IMC)

Simon Carter's Current Company Details
Dowgate Capital Limited

Dowgate Capital Limited

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Chief Operating Officer at Dowgate Capital Limited and Dowgate Wealth Ltd
london, london, united kingdom
Website:
dowgatecapitalstockbrokers.co.uk
Employees:
23
Simon Carter Work Experience Details
  • Dowgate Capital Limited
    Chief Operating Officer
    Dowgate Capital Limited Jan 2020 - Present
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  • Dowgate Capital Limited
    Head Of Operations, Risk And Compliance
    Dowgate Capital Limited 2018 - Jan 2020
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  • Dowgate Wealth
    Chief Operating Officer
    Dowgate Wealth Sep 2023 - Present
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  • Shard Capital Partners Llp
    Head Of Compliance (Cf10/11)
    Shard Capital Partners Llp Mar 2014 - Feb 2018
    London, United Kingdom
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  • Daiwa Asset Management
    Compliance Manager (Cf10/11)
    Daiwa Asset Management Aug 2011 - Mar 2014
    London, United Kingdom
    Implementation of the monitoring procedures and controls for the effective risk management of the firm and FSA regulatory complianceDay to day compliance monitoring, consideration of compliance monitoring findings, and implementation of any required actions.Reporting to the Directors on any issues of compliance that are considered appropriate. Ensure adherence to all applicable oversees regulations (Ireland and Cayman Islands), liaison with legal advisors of the firm.Follow up issues raised in internal and year end auditsPrimary liaison between all staff in relation to compliance issuesProduce and submit regulatory requests to FSA via ONA system (i.e Approved persons request, passporting permissions etc)Compile FSA returns via GABRIEL systemProduce annual ICAAP and Risk Assessment Review of Approved Persons and T&C Lists Organise Compliance training for all relevant staffMain contact point for the FSADevelop and maintain Compliance manual, internal policies and rules.Oversight of business procedures to ensure ongoing regulatory compliance.Conduct regular Compliance committee meetings and subsequently report to Tokyo Head OfficePresentation summary to board of directors on Compliance and Operational RiskMaintain registers for PA Dealing, Gifts and Entertainments, Conflict of Interests, Errors and BreachesExternal Compliance visits to offshore administrators
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  • J.P Morgan Asset Management
    Senior Compliance Officer - Assistant Vice President
    J.P Morgan Asset Management Aug 2010 - Aug 2011
    Research, plan and undertake detailed reviews, in accordance with the EMEA monitoring programme.Prepare detailed and accurate reports of findings including the agreement of practical and relevant recommendations for the business to address.Enhance the visibility of the monitoring team and establish key business relationships. Interact will all levels of business management.Develop and update the institutional and retail monitoring programme and ensure it remains risk based.Monitor the status of implementation of corrective action and work with the business to resolve any issues.Prepare monitoring workpapers to document and support work performed and conclusions reached.Liaise with Regulators and Auditors during onsite visits.
  • Jupiter Unit Trust Managers Ltd
    Assistant Compliance Officer
    Jupiter Unit Trust Managers Ltd Nov 2008 - Jul 2010
    Additional responsibility of managing one direct report (Compliance Analyst)Co-ordination of resource and prioritisation of workloads for the Compliance AnalystAll other responsibilities as set out in role below
  • Jupiter Unit Trust Managers
    Senior Compliance Analyst
    Jupiter Unit Trust Managers Apr 2008 - Nov 2008
    Maintain good working knowledge of COLL, COBS, CASS, SYSC, DISP, TC and HMRC ISA regulationsProvide compliance guidance and advice to Jupiter operations departmentsArrange and undertake compliance monitoring visits to third party administratorsIdentify and implement improvements to the compliance monitoring programmeUpdate monitoring programme to coincide with any FSA rule changesPerform monitoring reviews in accordance with the compliance monitoring programmeReview the monitoring work undertaken by the Compliance AnalystEnsure all monitoring reviews are completed within the required timescales.Identify non-compliant issues and or potential risk areas as a result of the monitoring performedDocument monitoring work, discuss with and issue findings to heads of department.Prepare and issue compliance monitoring reports to the Senior Operations ManagerMake recommendations for the resolution of issues identified and consult with relevant staffMonitor unresolved issues and notify Compliance Officer, where appropriateLiaise with relevant departments when breaches occur, advise on corrective action and ensure Trustees are fully informed.Attend external regulatory meetings on behalf of Jupiter Unit Trust Managers
  • Hsbc Trustee And Depositary Services, London
    Trustee And Depositary Manager, Senior Technical Support
    Hsbc Trustee And Depositary Services, London Sep 2007 - Mar 2008
    Professional relationship management of Clients, Fund Managers/ACD's, fund administrators.Review FSA consultation papers and IMA updates to assess regulatory implications for clients and internal HSBC departmentsInvestigate and respond to any regulatory issues received from clients and other HSBC departments, with particular emphasis on COLL and COBSProvide external client training on various aspects of CIS regulatory environment Assist with the Client Monitoring programme of visits, covering the Pricing, Compliance, Unit Dealing, Registration and Distribution functions
  • Hsbc Trustee And Depositary Services, Edinburgh
    Trustee And Depositary Operations Manager
    Hsbc Trustee And Depositary Services, Edinburgh Sep 2005 - Aug 2007
    Create and implement new procedures and processes as part of setting up a new departmentEnsure CIS's are managed within FSA regulations (COLL and COBS).Manage operational and investment restriction monitoring function including breach records, XD/Monthly reconciliations, certifications, scheme particulars/prospectii , investment and borrowing limits, overdraft limits, derivative monitoring, authorisation of fees, box management. Report to Senior Management any risk issues, breaches and any areas of concern.Organise operational aspects of mergers, launches, new business, Inspecie's and terminations.Manage the performance, training and personal development of five direct reports.Ensuring Team adheres to Service Level Agreements and internal deadlinesUnderstand, follow and demonstrate compliance with all relevant internal and external regulations that apply to the conduct of the business.
  • Hsbc Trustee And Depositary Services, London
    Monitoring Manager
    Hsbc Trustee And Depositary Services, London Apr 2004 - Aug 2005
    Resolution of internal and client generated queries regarding the operation of the funds against FSA regulatory requirementsCo ordinate and undertake external Compliance visits to clients to ensure Units Trust and OEIC'S are complying with FSA regulations, specifically COLL and COBS Hold face to face meetings with clients to discuss issues arising from Compliance Visits.Compile and issue reports to clients with compliance findings and recommendations for the resolution of such issues
  • Hsbc Global Custody Services, London
    Corporate Actions Client Services Officer
    Hsbc Global Custody Services, London Oct 2002 - Mar 2004
    Investigating queries relating to UK and Overseas Corporate Actions for UK and worldwide clientsLiaising with Corporate Actions Operations to ensure accurate information is provided to clients.Ensuring all queries are responded to within the Service Level AgreementWorking to time critical deadlines
  • Hsbc Global Custody Services, London
    Team Leader, Client Services
    Hsbc Global Custody Services, London Jul 2001 - Sep 2002
    Overseeing two members of staff, supporting a single high profile European ClientManaging and delegation of daily queries
  • Hsbc Global Custody Services, London
    Account Officer
    Hsbc Global Custody Services, London Mar 2000 - Jun 2001
    Providing answers to queries on Corporate Actions and Income payments, Crest, Physical, Unit Trusts and settlements, for a large portfolio of European clients
  • Barclays Bank Plc, London
    Various
    Barclays Bank Plc, London Aug 1988 - Feb 2000

Simon Carter Skills

Risk Management Aml Financial Risk Investments Asset Management Operational Risk Kyc Portfolio Management Internal Audit Financial Regulation Equities Financial Services Compliance Auditing Derivatives Asset Managment Anti Money Laundering

Simon Carter Education Details

  • Mascalls School
    Mascalls School
    Mathematics, English Language, Geography,Industry And Society, Technical Drawing

Frequently Asked Questions about Simon Carter

What company does Simon Carter work for?

Simon Carter works for Dowgate Capital Limited

What is Simon Carter's role at the current company?

Simon Carter's current role is Chief Operating Officer at Dowgate Capital Limited and Dowgate Wealth Ltd.

What is Simon Carter's email address?

Simon Carter's email address is si****@****l.co.uk

What is Simon Carter's direct phone number?

Simon Carter's direct phone number is +4477898*****

What schools did Simon Carter attend?

Simon Carter attended Mascalls School.

What skills is Simon Carter known for?

Simon Carter has skills like Risk Management, Aml, Financial Risk, Investments, Asset Management, Operational Risk, Kyc, Portfolio Management, Internal Audit, Financial Regulation, Equities, Financial Services.

Who are Simon Carter's colleagues?

Simon Carter's colleagues are Tony Manning Acib, Iac, Fcsi, Hugh Coleman, Neil Morss, Ben Walker, Jeremy Harris-St John, Ian Amiee, Kat Harrington.

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