Chief Executive Officer Brokerage

Position Title: Senior Executive Officer (SEO)

Reporting Line: Group Board / Global CEO

Company Overview

A fast-growing international digital brokerage group is establishing its Middle East headquarters in DIFC. The firm provides multi-market access (including US and Hong Kong equities) to global investors and is expanding into the GCC region through a regulated entity under the Dubai Financial Services Authority (DFSA).

Role Overview

The Senior Executive Officer (SEO) will be the DFSA-approved individual responsible for the overall management and regulatory accountability of the DIFC entity. This role will lead the entity setup, DFSA licensing process, and full operational build-out from inception.

Key Responsibilities Regulatory Licensing & Entity Establishment

• Lead the end-to-end DFSA licensing application process, including determining appropriate license category and scope of regulated activities.
• Establish and operationalize the DIFC legal entity, including governance structure and board framework.
• Act as the primary point of contact with DFSA and DIFC Authority throughout application and post-authorization phases.
• Appoint and oversee Authorized Individuals (Compliance Officer, MLRO, etc.) in accordance with DFSA requirements.

Regulatory Oversight & Governance

• Serve as the DFSA-approved SEO with ultimate responsibility for regulatory compliance.
• Ensure ongoing compliance with DFSA Rulebook requirements (including COB, AML, Client Assets, prudential reporting).
• Implement internal control frameworks, AML/KYC policies, and risk management procedures.
• Oversee regulatory reporting, audits, and supervisory inspections.

Business Strategy & Market Development

• Develop and execute the Middle East and GCC business strategy.
• Establish brokerage operations capable of supporting cross-border securities trading.
• Build institutional relationships (family offices, HNW clients, financial intermediaries).
• Coordinate with global headquarters on technology, product, and risk infrastructure deployment.

Team & Infrastructure Build-Out

• Build the DIFC team from ground up across compliance, operations, and business functions.
• Design operating model aligned with DFSA regulatory expectations.
• Implement governance, reporting, and control structures appropriate for a regulated brokerage.

Candidate Profile

• Proven experience leading a DFSA licensing application within DIFC from 0-1.
• Eligible and suitable to be approved by DFSA as Senior Executive Officer.
• Minimum 10+ years of experience in securities brokerage, investment banking, or regulated financial services.
• Strong working knowledge of DFSA regulatory framework and DIFC environment.
• Experience managing regulated entities and interacting directly with financial regulators.
• Strong leadership capability with ability to build and scale a regulated platform.
• Fluent in English; regional market experience preferred.