Job Description: Senior Executive Officer - Investments



Location: Abu Dhabi

Key Responsibilities

• The Senior Executive Officer (SEO) will be the lead executive responsible for the firm’s establishment and ongoing operations. This role is designated as a Controlled Function (CF1) under the FSRA Rulebook and requires formal approval from the regulator, including a fit and proper assessment covering integrity, competence, and financial soundness.


• The SEO will serve as the main point of contact with the FSRA, oversee the licensing process, and implement key infrastructure to ensure the firm is fully compliant and operational from day one. Key Responsibilities Regulatory & governance


• Act as the primary point of contact with the FSRA and ensure ongoing compliance with ADGM regulations.


• Maintain and implement the firm’s corporate governance framework, risk management systems, and compliance monitoring plans


• Ensure adherence to FSRA Rulebooks including GEN, COB, AML, and PRU (where applicable).


• Ensure the Compliance Officer has access to sufficient resources, including adequate number of competent staff to perform their duties objectively and independently of operational and business functions


• Ensure all regulatory reporting is done in timely manner Strategic leadership


• Responsible and accountable for all tasks carried out by the entity in or from ADGM


• Ensure the creation and implementation of business plan designed to manage risks to which customers might be exposed to – business plan takes into account entity’s current business activities and forecast for next 12 months


• Identify and pursue growth opportunities