Sterling Williams are supporting a boutique Corporate Finance business based in London with their search for Senior Compliance capabilities. The successful candidate will take on SMF 16 & SMF 17 responsibilities and be supported by a small team. Given the nature of the role candidates open to full time, or part-time options can be considered.
Head of Compliance - Small-Cap Corporate Finance
Salary dependent on experience
Location: West End of London (Hybrid)
Permanent (Part Time or Full Time)
Working alongside an FCA-authorised small-cap corporate finance boutique advising on fundraising, IPOs, and takeover transactions.
The firm is creative, and entrepreneurial and compliance is critical in a maintaining front foot approach to set standard, and ensuring the firm meets FCA and Aquis expectations across corporate finance advisory, retained clients, and transaction work.
Key Responsibilities:
Ownership of all compliance frameworks
Conflicts management, insider lists, MNPI controls, PAD oversight
MAR compliance, Aquis rulebook understanding, takeover code awareness
KYC/EDD, client onboarding, and ongoing Due Diligence
Transaction file reviews, governance, policies, monitoring
Ability to push back confidently on senior stakeholders
Build structure, improve processes, and bring “common sense” to compliance
Mentor and upskill existing team members
Person Specification - The successful candidate will have:
Strong understanding of small-cap corporate finance, advisory environments or nominated adviser/broker compliance
Common sense, judgement, and the ability to challenge
Confidence, communication skills, and the ability to spot errors and improve systems
Comfortable in a small, entrepreneurial team
Ability to work independently and make compliance “your own”
Corporate finance compliance experience
Qualified lawyer or accountant with regulatory experience beneficial (not essential)
CISI or similar qualification helpful
Experience across FCA expectations for advisory firms
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Head of Compliance - Corporate Finance employer: Sterling Williams LTD Careers
Join a leading investment management company in London that values operational excellence and employee growth. With a hybrid working model, competitive salary, and a culture that fosters collaboration and continuous improvement, this role offers you the chance to make a meaningful impact while developing your skills in corporate actions and securities data management. Enjoy the benefits of strong stakeholder relationships and a supportive environment that encourages innovation and efficiency.
Contact Details:
Sterling Williams LTD Careers Recruitment Team
