Registered Investment Advisor (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 :

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

Required Skills & Competencies :

Educational Qualification :

Experience Range : 3–7 years of experience in Investment Advisory, Wealth Management, or Portfolio Consulting within a SEBI-registered setup.

Preferred Background :

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 :

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Skills Required

Wealth Management, registered investment advisor , Investment Advisor