Registered Investment Advisor
📍 Location: Galle/Kegalle | Employment Type: Full-Time | Reports To: Manager – Branch Operations | Company: Almas Equities
Role Overview
As an RIA at Almas Equities, you will be the primary point of contact for your clients' investment needs — understanding their financial goals, constructing suitable investment strategies, and actively managing their portfolios in line with regulatory requirements and the firm's investment philosophy.
Key Responsibilities
Client Advisory & Relationship Management
Serve as the primary investment advisor for an assigned book of clients, delivering personalized advice aligned with each client's financial goals, risk tolerance, and investment horizon.
Conduct regular client reviews and portfolio performance discussions, proactively communicating market developments and their implications for client portfolios.
Build and maintain strong, trust-based relationships with clients, ensuring a high standard of service and long-term client retention.
Respond to client queries in a timely and professional manner, escalating complex matters where appropriate.
Investment Strategy & Portfolio Management
Develop and implement customized investment strategies for clients across equities, fixed income, and other asset classes as relevant.
Monitor client portfolios on an ongoing basis, making recommendations or adjustments in response to market conditions, client circumstances, or changes in investment objectives.
Conduct thorough research and due diligence on investment opportunities, drawing on internal research and market data to inform recommendations.
Collaborate with the research and investment teams to align client portfolios with the firm's broader market outlook and investment views.
Compliance & Regulatory Obligations
Always operate in accordance with applicable regulatory requirements, and disclosure requirements.
Ensure all client interactions, recommendations, and transactions are appropriately documented in line with internal compliance standards.
Stay current with regulatory changes and industry developments relevant to investment advisory services and proactively apply these to daily practice.
Business Development
Support the growth of the advisory business by contributing to client acquisition efforts, referrals, and networking activities.
Collaborate with the Client Experience and Client Services teams to ensure a seamless and high-quality client journey from onboarding through ongoing advisory.
Qualifications & Experience
Holds a valid Registered Investment Advisor (RIA) registration with the relevant regulatory authority offered by Securities and Exchange Commission of Sri Lanka.
Bachelor's degree in Finance, Economics, Business, or a related field. A postgraduate qualification (e.g. MBA, MSc Finance) is an advantage.
Strong working knowledge of equity markets, portfolio construction, and asset allocation principles.
Excellent communication and presentation skills, with the ability to explain complex financial concepts clearly to clients of varying financial literacy.