What are the responsibilities and job description for the Investment Advisor position at SynerGy Apex?
Fintech company is seeking a dynamic Investment Advisor Representative (IAR) with an entrepreneurial vision to participate in the development of a new Registered Investment Advisory (RIA) firm. The ideal candidate combines a strong fiduciary commitment with a commercial mindset, experience building relationships with high‑net‑worth clients, and an affinity for the fintech ecosystem and private markets.
Why Join Us
- Opportunity to help build a new RIA from the ground up
- Entrepreneurial environment within a fintech platform
- Exposure to private markets and alternative investments
- Long‑term growth and leadership potential
About the Role
A fast‑growing fintech company is seeking a dynamic and entrepreneurial Investment Advisor Representative (IAR) to support the launch and growth of a new Registered Investment Advisory (RIA) firm. This role is ideal for a fiduciary‑minded advisor with strong business development skills, experience serving high‑net‑worth clients, and interest in fintech and private markets.
Key Responsibilities
Relationship Management & Business Development (Critical)
- Identify, acquire, and manage relationships with High‑Net‑Worth Individuals (HNWIs) and Family Offices, with a focus on Latin American and international clients.
- Evaluate and present alternative investment and private market opportunities in compliance with regulatory requirements.
- Serve as the primary point of contact for clients, ensuring retention through trust, transparency, and personalized service.
Investment Advisory & Operations (Critical)
- Support the execution of investment recommendations aligned with client goals and risk profiles.
- Assist with analysis of fintech‑related investments and private assets.
- Oversee client onboarding and account setup.
- Coordinate account openings and transfers with approved custodians and platforms.
- Work with institutional custodians such as Schwab, Fidelity, Pershing, Interactive Brokers, or similar.
- Maintain required regulatory documentation, including books and records, in accordance with SEC and state regulations.
Compliance & Ethics (Mandatory)
- Ensure strict compliance with SEC and applicable state regulations.
- Manage KYC (Know Your Customer) and AML (Anti‑Money Laundering) processes per firm policies.
- Ensure all communications and investment recommendations meet fiduciary standards and are properly documented in Form ADV.
Required Qualifications (Non‑Negotiable)
- Licensing: Active Series 65 or Series 66 (with Series 7).
- Note: Certain professional designations (CFP®, CFA®, ChFC®, CIC®, PFS®) may qualify for an exemption, subject to regulatory approval.
- Experience: 3–5 years of experience in financial advisory, private banking, or wealth management. Experience in an independent RIA or Multi‑Family Office is a strong plus.
- Languages: Fully bilingual professional proficiency in English and Spanish.
- Location: Ability to work onsite or hybrid in Miami, FL.
Preferred Qualifications
- Existing network or client relationships in Latin America (Mexico, Colombia, Chile, Argentina, TBD) or South Florida.
- Exposure to or strong interest in alternative investments, including Private Equity, Venture Capital, Real Estate Syndications, or private markets.
- Educational background in Finance, Economics, Business, or related fields.
- Experience with CRM systems, portfolio management platforms, or client management tools.
- Advanced credentials (CFP®, CFA®, MBA) are a plus.
Compensation & Benefits
- Compensation: Competitive; based on experience
- Benefits: PTO, parking, US federal holidays
Job Specifications
· Location: Miami, FL 33130 – on site
· Employment Type: Full‑Time – Monday to Friday 10 AM to 6 PM
· Industry: Fintech | Wealth Management | RIA
· Reports to: CEO
We look forward to hearing from you!