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Interim Associate Director, Compliance, Control & Accounting and Technology & Operations

Closing date
10 May 2021

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Job Details

Role purpose:

The Association for Financial Markets in Europe (AFME) is seeking an Associate Director to work in the Compliance Control and Accounting (CCA) and Technology and Operations (TO) divisions to cover maternity leave.

The position offers the candidate an opportunity to work closely with senior individuals at leading investment banks, help shape the debate on critical regulatory reforms, and promote efficient and effective European capital markets.

You will manage and run working groups (WGs) comprised of subject matter experts appointed by our member firms and drive cross-industry collaboration around a range of CCA and TO themes. The role will be split 2/3 - 1/3 between the CCA and TO divisions, with some flexibility depending on priorities over time.

With CCA, you will be responsible for supporting the objectives of the AFME Compliance Committee and WGs. These cover all aspects of compliance, control, and conduct relating to EU and UK market regulation, including how the control function changes in a remote/hybrid working environment, the expectations of the European and National Competent Authorities, and the developing regulatory landscape. In particular, the Associate Director will be responsible for leading the corporate governance workstream and running topic-specific member WGs, such as the Senior Manager Regime WG, the Remuneration WG, the Corporate Governance Drafting Group, and the LIBOR Conduct Risk WG.

With TO, you will be responsible for supporting the Director to deliver initiatives and advocacy objectives on Artificial Intelligence (AI) and Cloud Computing in capital markets. The initiatives will include developing responses to EU and national public consultations and legislative proposals and executing advocacy plans towards a wide range of regulatory officials and industry stakeholders.

The role will also require identifying and delivering industry-specific projects to increase awareness, and promote best practices, for adopting AI and Cloud Computing in capital markets (for example, reports, member roundtables, and public events).

Within AFME you can expect to collaborate with teams from our other policy divisions: these include Equities, Fixed Income, FX, Prudential Regulation and Post-Trade. You will also have a dotted line relationship with colleagues in our Advocacy team.

You can also expect to work closely with our Media, Events and Advocacy teams, public policy professionals at our member firms, representatives from European institutions and regulators, and representatives from other trade associations, including AFME's sister associations SIFMA and ASIFMA based in New York and Hong Kong, respectively as well as other industry associations.

Key Accountabilities

Development of policy positions

  • Draft responses to public consultations from key regulators/other public authorities
  • Develop position papers on European/international/national legislative proposals
  • Work to reach consensus between members

Thought Leadership and Research

  • Identify with AFME members projects that can add value by influencing legislation, providing education, or best practices for the industry
  • Monitor developments at the European, international, and national level and circulate written briefs to members, updating them on key developments
  • Produce research notes and position papers on relevant policy issues

Relationship building

  • Develop relationships with members
  • Develop relationships with other European trade associations
  • Develop relationships with key regulatory stakeholders
  • Develop relationships with relevant third party industry participants (such as technology providers)
  • Attend and report back from industry forum meetings
  • Attend and participate in relevant AFME division meetings (and associated working groups) to build knowledge and relationships

Team support
  • Participate in team meetings, and, as appropriate, contribute to the running and development of the CCA division and TO divisions

Person specification


    • Strong track record in a relevant sector, e.g., with a regulator, FS firm, law firm, or consulting firm
    • Familiar with regulatory changes impacting the financial markets
    • Demonstrable expertise (5-7 years) in one or both European regulatory compliance and technology
    • Judgement to establish and monitor priorities, escalate issues and solicit feedback when required
    • Ability to prioritise workloads, work independently, and exercise good judgment
    • Exceptional time management and organisational ability to manage multiple workstreams
    • Intellectually curious, able to identify new themes relevant to members
    • Confidence dealing with individuals at all organisational levels
    • Strong analytical skills
    • Strong written and oral communication skills
    • Excellent written and spoken English
    • Excellent academic track record


    • Second or third European language
    • Relevant professional qualification
    • Some experience in wider regulatory policy

    If you would like to apply for this position, please submit your CV and cover letter to
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