Director, Head of RIA Portfolio Management

Who We Are

Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, among many others, collectively powering access to the stock market for over 22 million end customers.

The Director, Head of RIA Portfolio Management is a senior leadership role responsible for overseeing all portfolio management operations for AIM's sub‑advisory clients. This position requires a seasoned portfolio management professional with deep regulatory expertise, strong quantitative skills, and the ability to manage complex, multi‑client trading workflows in a highly regulated environment.

• Portfolio Management & Trading Operations (60%)
  • Execute Daily Trading Workflow:
    Oversee the complete daily trading cycle from pre‑market preparation through end‑of‑day reconciliation for multiple RIA client books.
  • Client Session Management:
    Manage separate, isolated trading sessions for each RIA client, ensuring proper segregation of strategies, compliance requirements, and audit trails.
  • Trade Proposal Review:
    Review and approve algorithmic trade proposals generated by Apex's rebalancing and direct indexing technology, validating trade logic, calculations, and alignment with client strategies.
  • Multi‑Level Trade Review:
    Conduct comprehensive trade reviews including trade logic and calculation validation, strategy alignment confirmation, anomaly detection and investigation, tax implication analysis, trading cost assessment, and market impact evaluation.
  • Risk Management:
    
    Monitor portfolio exposures, concentration limits, and trading thresholds across all client books.
  • Trade Execution Oversight:
    Submit approved trades to Apex Basket Trading Application and monitor execution quality throughout the trading day.
  • Exception Management:
    Handle partial fills, failed orders, and trading exceptions; investigate root causes and determine appropriate remediation.
• Regulatory Compliance & Risk Controls (25%)
  • Compliance Verification:
    Ensure all trade proposals and executions comply with securities regulations (Regulation Best Interest, fiduciary duty, etc.), firm policies, client‑specific investment guidelines, trade concentration limits, and restrictions.
  • Fair Treatment & Best Execution:
    Ensure equitable treatment of retail investors within each client’s book and verify best execution practices.
  • Audit Trail Maintenance:
    Maintain complete documentation of all session activities, trade proposals, review decisions, compliance checks, submissions, and exceptions.
  • Regulatory Reporting:
    Support preparation of regulatory filings, disclosures, and client reporting requirements.
  • Policy Development:
    Collaborate with Compliance team to develop and refine Written Supervisory Procedures (WSPs) for discretionary trading, model changes, trade error correction, best execution, and tax‑aware transitions.
• Strategy & Client Management (10%)
  • Investment Model Implementation:
    Load and configure client‑specific investment models, rebalancing parameters, and direct indexing preferences.
  • Client Onboarding:
    Support onboarding of new RIA clients, including configuration setup, testing, and launch coordination.
  • Performance Analysis:
    Monitor portfolio performance, tracking error, tax efficiency, and rebalancing effectiveness.
  • Stakeholder Communication:
    Provide regular updates to internal leadership and external clients on portfolio activities, exceptions, and compliance matters.
• Team Leadership & Development (5%)
  • Direct Report Management:
    Supervise Portfolio Manager (FTE‑2), providing guidance, training, and performance feedback.
  • Process Improvement:
    Identify opportunities to enhance operational efficiency, reduce errors, and improve scalability.
  • Technology
    
    Collaboration:
    
    Work closely with technology teams to optimize the rebalancing platform and trading workflows.
  • Knowledge Sharing:
    Build institutional knowledge and document best practices for portfolio management operations.

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