Registered Investment Advisor

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:

1. 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.

1. 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.

1. 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.

1. 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.

1. 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.

1. 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.