Job Summary
We are seeking a SEBI Registered Investment Adviser (RIA) and/or Research Analyst (RA) to provide high-quality investment research, financial analysis, and advisory services in compliance with SEBI regulations. The ideal candidate will conduct in-depth market research, analyze securities, prepare research reports, offer personalized investment advice (for RIAs), and ensure adherence to all applicable regulatory and compliance requirements.
Key Responsibilities
Investment Research & Analysis
- Conduct fundamental, technical, and quantitative analysis of equities, mutual funds, fixed-income securities, ETFs, and other financial instruments.
- Monitor macroeconomic trends, industry developments, and company financials.
- Develop investment strategies based on market conditions and client objectives.
- Prepare detailed research reports with recommendations supported by analytical data.
- Track the performance of recommended securities and update reports as required.
Investment Advisory (RIA Role)
- Assess clients' financial goals, risk tolerance, and investment horizon.
- Provide personalized investment advice in accordance with SEBI Investment Adviser Regulations.
- Design customized investment portfolios aligned with client objectives.
- Conduct periodic portfolio reviews and recommend rebalancing strategies.
- Educate clients about investment products, market risks, and financial planning.
Compliance & Regulatory Responsibilities
- Ensure full compliance with SEBI regulations governing RIAs and Research Analysts.
- Maintain accurate records of client interactions, research reports, and recommendations.
- Adhere to conflict-of-interest policies and ethical standards.
- Keep updated on SEBI circulars, regulatory amendments, and industry best practices.
- Support internal audits and regulatory inspections.
Client & Stakeholder Communication
- Present investment recommendations clearly and professionally.
- Respond to client queries regarding investment opportunities and market developments.
- Conduct webinars, seminars, or investor education sessions when required.
- Collaborate with compliance, operations, and portfolio management teams.
Required Qualifications
- Bachelor's degree in Finance, Commerce, Economics, Business Administration, or a related field.
- Master's degree, MBA (Finance), CA, CFA, CFP, or equivalent qualification is preferred.
- Valid registration as a SEBI Registered Investment Adviser (RIA) and/or SEBI Registered Research Analyst (RA), where applicable.
- Certification as prescribed under SEBI regulations (e.g., NISM certifications).
Experience
- 2–8+ years of experience in investment advisory, equity research, wealth management, financial planning, or capital markets.
- Experience in preparing research reports and investment recommendations.
- Familiarity with financial modeling and valuation techniques is preferred.
Required Skills
- Strong understanding of capital markets and investment products.
- Financial statement analysis and valuation expertise.
- Fundamental and technical research skills.
- Portfolio construction and asset allocation knowledge.
- Excellent analytical and problem-solving abilities.
- Strong written and verbal communication skills.
- Client relationship management.
- High ethical standards and regulatory awareness.
- Proficiency in Microsoft Excel, PowerPoint, and financial research platforms (e.g., Bloomberg, Reuters, Capital IQ, Tickertape, or similar).
Preferred Competencies
- Financial planning and wealth management.
- Risk management and portfolio optimization.
- Data analysis and financial modeling.
- Presentation and report-writing skills.
- Attention to detail and regulatory compliance.
Key Performance Indicators (KPIs)
- Accuracy and quality of research reports.
- Client satisfaction and retention.
- Timely delivery of investment recommendations.
- Compliance with SEBI regulations and internal policies.
- Performance of recommended investment strategies (where applicable).
- Quality of documentation and record-keeping.
Working Conditions
- Full-time position.
- Office or hybrid work environment.
- May require monitoring of market activity during trading hours.
- Continuous learning to stay updated with financial markets and regulatory changes.
Pay: ₹30,000.00 - ₹120,000.00 per year
Work Location: Hybrid remote in Pothencode, Thiruvananthapuram, Kerala
