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