Full job descriptionSterling 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