Dominic joined London and Capital in 2011 and became Chief Compliance Officer for both regulated entities within the group in 2018. He is also Chief Compliance Officer for the SEC regulated entity and Money Laundering Reporting Officer. He oversees the Training and Competence of L&C employees, all regulatory contact and reporting, as well as the Regulatory Risk management within the group. Dominic sits on the Board of the Regulated entities within the group. Recent projects he has managed include SM&CR and MiFID II.
Prior to joining, Dominic worked in various compliance roles at a large insurance companies as well as smaller wealth managers covering areas including alternative investments, pension transfer processes and model portfolio construction.
He has been awarded the Investment Management Certificate, a Diploma in Financial Planning, The Advanced Diploma in Pension transfer and a BSc Hons degree from Durham University.