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Urgent! Principal / Senior Compliance Officer - Local Job Opening in Copenhagen

Principal / Senior Compliance Officer



Job description

Would you like to play a key role in identifying and managing the Bank's conflict of interest risks, working closely with business units and functions?

Then come and join our Conflict Management team where you will be a critical part of developing, enhancing, and overseeing our framework!

You will be part of the Conflict Management team in Copenhagen, responsible for facilitating and advising the Group on the identification and management of conflicts of interest.

You will report to the Head of Conflict Management and will have the opportunity to work across all aspects of conflict management.

Our team is currently going through an exciting period as we look to enhance and develop our conflict management framework.

You will have the opportunity to not only run some of our key processes and controls but also influence the Bank's approach to conflict management.

We are approximately eight people split across Denmark and Lithuania, further supported by a dedicated IT development team working on our underlying technology.

Control Room System (CRS).

This position is based in Copenhagen, Denmark.

Your role:

Be a contributor to the business on all things conflict management.

As a Principal/Senior Compliance Officer, you will work in close collaboration with various stakeholders across the Bank and offer your advice on internal policy and regulatory matters.

Your overall responsibilities will include:

  • Ownership of some of the key aspects of our control room / conflict management framework such as research clearance and insider list management
  • Ensuring that investment research is conflict-cleared before market publication.

    Note that this includes some fixed hours (either a morning shift from 7 am – 9 am, or an evening shift from 4 pm – 6 pm (CET))
  • Management of the Restricted List, Grey List and Watch List
  • Working with the IT development team on the automation of manual processes 
  • Providing advice to the business, with a particular focus on investment banking-related deals
  • Supporting your fellow colleagues when needed on other aspects of conflict management such as information barriers, outside business interests, personal account dealing, or general conflicts advice
  • Your profile:

    Do you have good cooperation skills, and can you foster our values?

    To succeed in this role, you will need to have significant integrity, good risk judgment, and the ability to cooperate, challenge, and ‘speak up’.

    You are structured in your methods, possess good analytical skills, and have the ability to identify and resolve material compliance issues.

    Desired experience includes:

  • Relevant control room, conflict management and/or corporate and investment banking compliance experience
  • In-depth knowledge and understanding of EU MAR and MiFID rules
  • Excellent teamwork, interpersonal, and conflict resolution skills
  • Ability to work independently when required 
  • Highly organized and capable of handling complex projects and multiple priorities
  • Fluency in spoken and written English
  • Advanced experience working with the MS Office suite, particularly Excel
  • Interested?

    Send us your CV and application.

    Please note, that we are processing applications on a continuous basis, so we encourage you to apply as soon as possible.

    If you want to know more about the job, feel free contact Harry Alexander Hind Rosen,


    Required Skill Profession

    Financial Specialists



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