Senior Executive Officer

Seven capitals; Dubai; On-site; AED 200,000 - 300,000; Full time

Job summary

A financial services firm in Dubai is seeking a highly experienced Senior Executive Officer to lead operations and ensure compliance with DFSA regulations. The role requires over 10 years of experience in financial services, including at least 5 years in a senior leadership position. The SEO will oversee governance, risk management, and maintain relationships with regulatory bodies. The ideal candidate will also uphold high ethical standards and possess strong leadership qualities.

Qualifications

• Minimum of 10+ years of experience in financial services.
• Proven experience in regulatory engagement and compliance.
• Eligible for DFSA approval as an Authorised Individual.

Responsibilities

• Act as primary point of contact with the DFSA.
• Define and implement the firm’s business strategy.
• Supervise Compliance Officer and MLRO functions.

Skills

Regulatory compliance

Risk management

Stakeholder management

Strategic leadership

Financial oversight

Job description

Position Overview

Seven Capitals is seeking a highly experienced and regulatory-driven Senior Executive Officer (SEO) to lead the firm’s operations and serve as the primary liaison with the DFSA. The SEO will be responsible for governance, compliance, risk management, and ensuring that the firm operates in full alignment with its DFSA license permissions and prudential requirements. This individual must be approved by the DFSA as an Authorised Individual and will provide strategic leadership, regulatory oversight, and operational direction across the firm.

Why Join Seven Capitals?

At Seven Capitals, we are committed to excellence, innovation, and integrity in financial services. This is a unique opportunity to lead a DFSA-regulated firm, shape its strategy, and build a sustainable, compliance-driven organization in one of the world’s most dynamic financial hubs.

Key Responsibilities

• Regulatory Oversight & DFSA Relationship
• Act as the primary point of contact with the DFSA and maintain a constructive regulatory relationship.
• Ensure adherence to the DFSA Rulebook (GEN, COB, AML, PIB, etc.) and all applicable regulations.
• Oversee regulatory filings, including prudential returns, audited financials, and notifications of material changes.
• Strategic Leadership & Governance
• Define and implement the firm’s business strategy and governance framework.
• Provide strategic guidance to the Board of Directors and report on compliance, risk, and business performance.
• Build and promote a compliance-first culture across the organization.
• Compliance & Risk Management
• Supervise Compliance Officer (CO) and Money Laundering Reporting Officer (MLRO) functions.
• Ensure robust client onboarding, KYC, complaints handling, and conflict of interest management.
• Establish and monitor risk management frameworks, policies, and internal controls to mitigate operational and financial risks.
• Promptly escalate and report any material breaches or operational issues to DFSA.
• Financial Oversight & Prudential Compliance
• Ensure compliance with Category 4 firm capital requirements and maintain minimum regulatory capital at all times.
• Monitor prudential ratios and financial soundness in line with DFSA requirements.
• Oversee internal and external audits and ensure timely completion.
• People & Culture
• Provide leadership and direction to senior management and staff.
• Ensure continuous staff training, competence, and awareness of regulatory obligations.
• Drive a culture of accountability, integrity, and compliance across the firm.

Qualifications & Experience

• Minimum of 10+ years of experience in financial services, with at least 5 years in a senior leadership role.
• Proven experience in regulatory engagement, governance, and compliance within a DFSA-regulated entity or equivalent.
• Strong knowledge of the DFSA Rulebook (GEN, COB, AML, PIB) and UAE financial regulatory landscape.
• Demonstrated experience in risk management, prudential oversight, and corporate governance.
• Track record of leading regulated entities and ensuring compliance with capital adequacy and prudential requirements.
• Excellent communication and stakeholder management skills.
• Eligible and suitable to be approved by DFSA as an Authorised Individual (SEO).

Personal Attributes

• Strong leadership presence with the ability to influence and inspire.
• High ethical standards and integrity-driven decision-making.
• Strategic thinker with hands-on execution ability.
• Detail-oriented with strong risk and compliance mindset.
• Resilient, adaptable, and proactive in navigating regulatory challenges.