Looking for Registered Investment Adviser (RIA)

Job Title: Registered Investment Adviser (RIA)

Department / Function: Wealth Management & SEBI-Registered Advisory Services

Location:

Noida / Hybrid (Flexible Work Model)

Job Summary:

We are seeking a SEBI-registered and client-centric Investment Adviser (RIA) to manage and grow our wealth advisory vertical, offering personalized financial advice and portfolio management solutions. The role involves providing unbiased investment guidance, maintaining compliance with SEBI regulations, and ensuring that every client interaction upholds the firm's integrity and fiduciary standards.

The ideal candidate should have a strong understanding of securities markets, financial products, and SEBI's regulatory framework, along with the ability to translate complex financial information into actionable advice for clients.

Key Responsibilities:

1. Offer independent, SEBI-compliant investment advisory services tailored to clients risk appetite and financial goals.
2. Develop and implement customized financial strategies covering equity, mutual funds, bonds, and other regulated investment products.
3. Conduct periodic portfolio reviews, performance tracking, and rebalancing in alignment with client objectives.
4. Maintain strict adherence to SEBI (Investment Advisers) Regulations, 2013 and ensure compliance in all advisory activities.
5. Conduct comprehensive financial planning including retirement, tax efficiency, and wealth preservation strategies.
6. Ensure transparency and maintain robust documentation for all client interactions, agreements, and recommendations.
7. Build and maintain long-term relationships with clients based on trust, ethics, and performance.
8. Stay updated on market trends, economic developments, and SEBI circulars impacting retail and institutional investors.
9. Maintain detailed research notes and present investment ideas to the internal research team and clients.
10. Coordinate with operations and compliance departments to ensure accurate execution and reporting.
11. Handle client risk profiling, KYC documentation, and periodic suitability assessments as per SEBI norms.
12. Prepare and share timely investment reports, dashboards, and advisory communication with clients.
13. Support the marketing team with insights for financial literacy campaigns, newsletters, and investor education drives.
14. Participate in internal compliance audits and inspections related to advisory operations.
15. Uphold the firm's fiduciary responsibilityalways act in the best interest of the client.

Required Skills & Competencies:

• In-depth knowledge of SEBI (Investment Advisers) Regulations, 2013 and associated compliance requirements.
• Strong understanding of capital markets, mutual funds, portfolio construction, and risk management.
• My approach is analytical and research-driven, and I possess excellent presentation and communication skills.
• Proficiency in MS Excel, financial modeling, and portfolio analysis tools.
• High level of ethics, integrity, and confidentiality in handling client data.
• Client-first attitude with patience, empathy, and a problem-solving mindset.
• Ability to interpret regulatory circulars and apply them practically in advisory workflows.

Educational Qualification:

• Graduate / Postgraduate in Commerce, Finance, Economics, or Management.
• Must have cleared NISM-Series-XA & XB (Investment Adviser Level 1 & Level 2) certifications.
• Additional qualifications such as CFP, CFA, or CA will be a strong advantage.

Experience Range:

Preferred Background:

• Candidates previously associated with SEBI-registered Investment Advisers, Wealth Managers, or PMS firms will be preferred.
• Exposure to RBI, IRDAI, or Capital Market Compliance frameworks will be beneficial.

Why Join Us:

At Estabizz Fintech, we believe that ethical advisory is the foundation of long-term client trust. As one of India's leading financial and regulatory consulting firms, we empower our team with continuous learning, research resources, and professional independence. Join us to shape the future of responsible wealth management and contribute to India's evolving financial ecosystem.

Application Instructions:

Interested candidates may email their resume and NISM certification copy to [HIDDEN TEXT] with the subject line Application for Registered Investment Adviser (RIA).

Focus Keywords:

Registered Investment Adviser Job, SEBI RIA Vacancy, Investment Adviser Jobs in Ahmedabad, Wealth Management Jobs India, SEBI Registered Adviser Recruitment, RIA SEBI Compliance Job, NISM Investment Adviser Role, Financial Planner India Job