Colin Johnson is a seasoned compliance and operations professional currently serving as the MLRO and Compliance and Operations Manager at Dowgate Capital Limited since August 2017. With a strong foundation in developing risk-based compliance monitoring plans and providing compliance advice in retail Wealth Management, Colin has extensive experience in transaction monitoring and KYC reviews, as well as a solid background in regulatory developments such as MiFID II and MAR. Prior roles include adjudicator at the Financial Ombudsman Service, where Colin managed consumer complaints against FCA regulated firms, and a case handler at Lloyds Banking Group, focusing on client portfolio analysis and remediation. Colin also contributed to market segmentation strategies as a business development consultant at American Express. Colin holds a Bachelor's degree in Economics from Nottingham Trent University.
Dowgate Capital
Dowgate Capital is a specialist corporate broking boutique. It takes pride in being the home of proven enterprise. Our research department provides exceptional insights on industries, sectors and companies under our coverage. The wealth management arm offers a comprehensive range of share dealing services with access to our in-house research, unbiased expertise and execution capabilities. We also provide nominee services.