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
Head of Compliance - Corporate Finance in London 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
