Stack Wealth - Investment Advisor (10-25 yrs)

Registered Investment Advisor

- We seek a proactive SEBI-Registered Investment Advisor (RIA) to lead regulatory licensing, compliance, product strategy, and client advisory.

- Beyond securing the RIA license, you will drive compliance frameworks, collaborate on tech-driven product development, train relationship managers, manage investment experts, and engage directly with clients.

- This role is pivotal in shaping Stack's regulatory foundation, scaling operations, and delivering exceptional client experiences.

Key Responsibilities:

Licensing & Regulatory Compliance:

- Lead the end-to-end process of obtaining and maintaining the SEBI RIA license for the company.

- Ensure adherence to SEBI (Investment Advisers) Regulations, 2013, including disclosures, audits, and record-keeping.

- Monitor regulatory updates and implement changes to policies, processes, and product offerings.

Product Development & Strategy:

- Collaborate with tech and product teams to design compliant, client-centric wealth management solutions.

- Integorate regulatory requirements into product design (e.g., risk profiling tools, fee structures, reporting systems).

- Advise on asset allocation strategies, financial instruments, and tech integrations to enhance user experience.

Team Leadership & Training:

- Train and mentor relationship managers on compliance protocols, client communication, and SEBI guidelines.

- Manage a team of investment experts to ensure alignment with regulatory standards and company objectives.

- Develop training modules for ongoing team upskilling in financial planning, compliance, and market trends.

Client Advisory & Relationship Management:

- Provide personalized investment advice to high-potential clients, including portfolio reviews and financial planning.

- Act as a trusted fiduciary, ensuring recommendations align with client goals, risk tolerance, and SEBI guidelines.

- Resolve complex client queries and escalate tech/product feedback to relevant teams.

Compliance Oversight:

- Implement robust internal audits, risk assessments, and documentation processes.

- Maintain transparent fee structures, conflict-of-interest policies, and client disclosure practices.

- Prepare and submit periodic reports to SEBI and internal stakeholders.

Market & Portfolio Strategy:

- Analyze macroeconomic trends, market data, and regulatory shifts to refine investment strategies.

- Oversee portfolio rebalancing and performance reporting for clients and internal stakeholders.

Qualifications & Requirements:

- Education: Bachelor's/Master's in Finance, Economics, or related fields. MBA/CFA/CFP preferred.

Certifications:

- Mandatory: Valid SEBI RIA registration + NISM X-A/X-B certifications.

- Preferred: CFP, CFA, or CA.

Experience:

- 3-5 years in wealth management, BFSI, or fintech, with proven experience in RIA licensing/compliance.

- Expertise in SEBI regulations, financial product design, and client portfolio management.

- Experience managing teams or training professionals in financial advisory.

Skills:

- Proficiency in financial tools (CRMs, portfolio software), data analysis, and tech collaboration.

- Strong communication skills to simplify complex concepts for clients and internal teams.

- Strategic mindset to balance regulatory rigor with scalable tech solutions.

- Desired Competencies

- Tech-Savvy Leadership: Ability to bridge finance expertise with tech product development.

- Entrepreneurial Drive: Thrive in a fast-paced startup environment with ownership of outcomes.

- Client-First Mentality: Passion for democratizing wealth management through ethical, transparent advice.

What We Offer:

- Impact: Shape the future of India's wealth-tech landscape alongside industry pioneers.

- Growth: Sponsorship for advanced certifications (CFA, CFP) and leadership development.

- Compensation: Competitive salary + performance incentives + ESOPs (for senior roles).

- Perks: Health insurance, flexible work options, and access to cutting-edge tools.

Why Join Stack?

- Work with a visionary team backed by global investors like Y Combinator and Harvard Management.

- Drive innovation at the intersection of finance and technology.

- Build a category-defining platform for millions of aspiring investors.