Head of Compliance - Corporate Finance
Job in
Hilsea, Portsmouth, Hampshire County, PO5, England, UK
Listed on 2026-09-24
Listing for:
Sterling Williams LTD
Full Time, Part Time
position Listed on 2026-09-24
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Corporate Finance
Job Description & How to Apply Below
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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