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 preferred.

• Certifications:

• Mandatory: 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.