Compliance & Legal Manager Financial Services (part-time)

Solas Capital AG is an investment advisor founded by a leading team of sustainable finance investment professionals with experience in the fields of energy efficiency renewable energy and infrastructure finance. Solas Capitals goal is to support societys transition to carbon neutrality by developing and managing sustainable finance products that have a double bottom-line investment objective. Located in Zurich and Munich the company has a European outreach. To support the companys continued growth we are looking for a Compliance Officer to join our Munich team.

This is a permanent 40-60% role in Switzerland or Germany working either remotely or based in one of our offices in Zurich and Munich. You will be reporting directly to the Managing Director as well as the groups COO.

Tasks

Core compliance function

• Taking on the role of registered Compliance Officer with BaFin upon appointment (if based in Germany) or taking on the equivalent compliance function for our FINMA-regulated Swiss entity (if based in Switzerland) with full support provided by the firm
• Independent ownership of all compliance matters in day-to-day operations setting the agenda not executing someone elses
• Primary point of contact for BaFin and/or FINMA and other relevant regulatory authorities as applicable to your location including all regulatory reporting obligations
• Maintaining and developing the internal compliance framework: policies manuals procedures and guidelines
• KYC and AML checks for investors and business partners in accordance with the German Anti-Money Laundering Act (GwG) and the Swiss AML Act (GwG/AMLA)
• Planning and delivering internal compliance training across the team
• Coordinating and managing external regulatory and statutory audits including preparation of required documentation and resolution of audit findings
• Primary liaison between the compliance functions of the Swiss (FINMA-regulated) and German (BaFin-regulated) entities ensuring cross-border regulatory coherence
• Preparation and documentation of board and supervisory board meetings

Possible extended scope (depending on experience) Legal & Fund Documentation

• Contributing to the creation and updating of fund documentation (PPM subscription agreements constitutional documents)
• Supporting waiver processes and amendment procedures for existing fund documents
• Assisting with the legal structuring of new fund vehicles in coordination with external counsel

Requirements

Candidates must have:

• 58 years of substantive hands-on compliance experience at BaFin-regulated (Germany) or FINMA-regulated (Switzerland) institutions (MiFID WpIG KWG FINIG FINMAG or equivalent)
• A track record of owning compliance processes end-to-end and operating with significant autonomy the person in this role should be someone colleagues and management turn to rather than someone who escalates upward
• Solid working knowledge of German regulatory requirements: MiFID II AML/KYC (GwG) regulatory reporting and/or Swiss requirements (FINIG/FINMAG AML/KYC regulatory reporting)
• Readiness and eligibility to take on personal regulatory responsibility as a registered Compliance Officer with BaFin (if based in Germany) or in the equivalent capacity for our FINMA-regulated entity (if based in Switzerland) - prior registration is not required but this is the natural next step
• Fluency in German and English written and spoken
• A structured self-directed working style suited to a lean international team this role requires defining the compliance agenda rather than operating within an established department
• German/Swiss work permit or Swiss/EU citizenship

Candidates may also have:

• Legal qualification (Volljurist or equivalent) or professional background in capital markets law investment fund law or regulatory law
• Experience drafting or reviewing fund documentation and managing waiver and amendment processes
• Knowledge of relevant EU frameworks: AIFMD SFDR ELTIF Regulation
• Familiarity with fund vehicles (e.g. Luxembourg Ireland) or cross-border EU fund distribution
• Exposure to sustainable finance regulation (SFDR Article 8/9 EU Taxonomy)

Benefits

• Collaborative international team with a positive proactive culture
• European experts in energy efficiency and sustainable finance
• Direct impact on the European energy transition
• Broad and varied role with real ownership and responsibility
• Culture of inclusion that values each employees unique perspective

Please submit applications in english.

Employment Type : Employee
Experience: years
Vacancy: 1