Investment Advisor

2 weeks ago

Bengaluru, Karnataka, India Stack Wealth Full time

About the job

Company Overview

Stack is a Y Combinator-backed wealth-tech startup revolutionizing private wealth management for India's emerging affluent. Backed by top-tier investors like Harvard Management, Goodwater Capital, Kunal Shah (Cred), and Tanuj Shori (Squareyards), we're building an innovative, tech-driven platform to democratize access to personalized wealth solutions. Our mission is to empower individuals to achieve their financial goals through cutting-edge technology and unbiased advice.

Job Summary

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.

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

Preferred: CFP, CFA, or CA.

Experience:

- 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.

(ref:iimjobs.com)

  • Investment Advisor

    3 weeks ago

    Bengaluru, Karnataka, India Stack Wealth Full time

    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...

  • Investment Advisor

    2 weeks ago

    Bengaluru, Karnataka, India Stack Wealth Full time

    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...

  • Investment Advisor

    2 days ago

    Bengaluru, Karnataka, India Nuvama Wealth Full time

    Wealth Management ExpertiseNuvama Wealth is a leading provider of wealth management services, dedicated to helping high net worth individuals achieve their financial goals. Our team of experts provides personalized advice and services to ensure our clients' financial well-being.Job RoleThe Investment Advisor will be responsible for providing expert advice...

  • Investment Analyst

    3 weeks ago

    Bengaluru, Karnataka, India Arena Investors I Quaestor Advisors Full time

    About Us:Arena Investors, LP ("Arena") is a global investment management firm that seeks to generate attractive risk adjusted, consistent and uncorrelated returns by employing a fundamentals based, asset-oriented financing and investing strategy across the entire credit spectrum in areas where conventional sources of capital are scarce.  Arena specializes...

  • Registered Investment Advisor

    4 weeks ago

    Bengaluru, Karnataka, India Stack Wealth Full time

    Company Overview Stack is a Y Combinator-backed wealth-tech startup revolutionizing private wealth management for India's emerging affluent. Backed by top-tier investors like Harvard Management, Goodwater Capital, Kunal Shah (Cred), and Tanuj Shori (Squareyards), we're building an innovative, tech-driven platform to democratize access to personalized wealth...

  • Registered Investment Advisor

    3 weeks ago

    Bengaluru, Karnataka, India Stack Wealth Full time

    Company Overview: Stack is a Y Combinator-backed wealth-tech startup revolutionizing private wealth management for India's emerging affluent. Backed by top-tier investors like Harvard Management, Goodwater Capital, Kunal Shah (Cred), and Tanuj Shori (Squareyards), we're building an innovative, tech-driven platform to democratize access to personalized wealth...

  • Registered Investment Advisor

    2 weeks ago

    Bengaluru, Karnataka, India Stack Wealth Full time

    Company Overview: Stack is a Y Combinator-backed wealth-tech startup revolutionizing private wealth management for India's emerging affluent. Backed by top-tier investors like Harvard Management, Goodwater Capital, Kunal Shah (Cred), and Tanuj Shori (Squareyards), we're building an innovative, tech-driven platform to democratize access to personalized wealth...

  • Investment Specialist and Advisor-Reputed BFSI Industry-Bangalore, Bengaluru, Karnataka, India-Upto 6 LPA-Meetali

    4 weeks ago

    Bengaluru, Karnataka, India Seven Consultancy Full time

    JOB DETAILS 1)Compliment a team of successful relationship managers by performing the pivotal role of investment expert. 2)Develop and strengthen client relationships by demonstrating an in-depth understanding of financial markets. 3)Add value to high net worth clients by analyzing and optimizing their portfolios based on risk return metrics. 4)Generate...

  • Institutional Investment Advisor

    7 days ago

    Bengaluru, Karnataka, India Vivriti Asset Management Full time

    Company OverviewVivriti Asset Management is a leading firm in the mid-market lending space, delivering bespoke debt solutions to mid-sized enterprises. Our business model revolves around two core segments:1. Vivriti Capital Limited: A Systemically Important Non-Banking Financial Company (NBFC-ND-SI) regulated by the Reserve Bank of India (RBI). Vivriti...

  • Investment Compliance

    1 week ago

    Bengaluru, Karnataka, India State Street Full time

    Who we are looking for Looking for compliance professional who understand and can provide end-to-end support to investment company Mutual Fund clients their Compliance teams by sharing primarily meaningful insights about the funds ability to comply with i SEC Securities and Exchange Commission requirements and ii investment guidelines stated in...

  • Investment Team Analyst

    3 days ago

    Bengaluru, Karnataka, India Arena Investors I Quaestor Advisors Full time

    Job Summary:We are looking for an experienced Senior Analyst to join our Client Service and Marketing team at Arena Investors I Quaestor Advisors. As the lead analyst, you will be responsible for overseeing our analyst team in Bangalore, focusing on production and analysis for recurring and bespoke marketing and client materials.You will work closely with...

  • Investment Product Specialist

    17 hours ago

    Bengaluru, Karnataka, India Navi Full time

    Job Summary:The Mutual Fund Sales Representative will be responsible for promoting and selling Navi's mutual fund products to individual and institutional clients.This role requires a deep understanding of financial markets, investment products, and strong sales skills.The ideal candidate will build and manage relationships with financial advisors,...

  • Senior Vice President of Investments India

    1 day ago

    Bengaluru, Karnataka, India State Street Corporation Full time

    State Street Global AdvisorsAt State Street Global Advisors, we believe in the importance of investing in human capital. Our investments team in Bangalore plays a crucial role in helping our clients achieve their investment objectives, and we are seeking an experienced leader to join our team.">About the RoleThe Senior Vice President of Investments India...

  • Investment Manager for Private Equity Funds

    4 days ago

    Bengaluru, Karnataka, India State Street Corporation Full time

    Job DescriptionThe Private Markets Fund Team at State Street Global Advisors is seeking an enthusiastic analyst with investment experience in Alternatives to support the expansion of our Middle East office.This generalist role will work across all private asset classes, collaborating with the broader private markets funds team based out of US, London, and...

  • Investment Compliance

    3 weeks ago

    Bengaluru, Karnataka, India State Street Corporation Full time

    Job DescriptionWho we are looking for:Looking for compliance professional who understand and can provide end-to-end support to investment company (Mutual Fund) clients & their Compliance teams by sharing, primarily, meaningful insights about the funds ability to comply with (i) SEC (Securities and Exchange Commission) requirements and (ii) investment...

  • Private Wealth Advisor

    6 days ago

    Bengaluru, Karnataka, India Goldman Sachs Full time

    About the RoleThis Private Wealth Advisor position involves working closely with high-net-worth individuals and families to understand their financial goals and develop tailored investment strategies.Key ResponsibilitiesConduct comprehensive needs assessments for clients to determine their investment objectivesDevelop and present personalized investment...

  • Investment Expert Advisor

    5 days ago

    Bengaluru, Karnataka, India Dezerv Full time

    The Role at DezervWe are seeking highly skilled professionals to join our business team as Financial Partners. In this capacity, you will engage with discerning clients possessing a net worth of 50 lakhs and above, guiding them towards understanding Dezerv's Portfolio Management Service in Mutual Funds. Your main objective will be to facilitate informed...

  • Investment Research Platform Manager

    4 days ago

    Bengaluru, Karnataka, India Wokelo AI Full time

    Overview:">At Wokelo AI, we harness the power of Gen-AI to revolutionize investment research and analysis.">Our platform is designed to automate complex tasks, freeing up time for critical thinking and decision-making.">We partner with leading Private Equity, Investment Banks, Corporate Strategy, Venture capital, and Fortune 500 firms to deliver unparalleled...

  • Investment Analyst

    6 hours ago

    Bengaluru, Karnataka, India Creddinv Technologies Pvt Ltd Full time

    Job descriptionInvestment Analyst -Inside Sales professional on the sell-side plays a critical role in driving revenue for the firm by managing relationships with investors, promoting the firm's investment products, and providing strategic insights. This role requires a mix of sales acumen, financial market expertise, and the ability to deliver tailored...

  • Investment Performance Analysis

    4 weeks ago

    Bengaluru, Karnataka, India State Street Full time

    State Street Corporation NYSE STT is one of the world s leading providers of financial services to institutional investors including investment servicing investment management and investment research and trading With 33 99 trillion in assets under custody and administration and 2 81 trillion in assets under management as of September 30 2018 State...