Director, Head of RIA Portfolio Management

ABOUT THIS ROLE

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.

As the senior portfolio manager, you will lead the day-to-day execution of rebalancing and direct indexing strategies, ensure compliance with securities regulations and client investment policies, and build scalable operational processes as AIM grows from initial launch with Facet Wealth to managing billions in assets across multiple RIA clients.

This is a foundational leadership role in a high-growth initiative with significant revenue potential ($1.6M+ annually by 2027) and strategic importance to Apex Fintech Solutions.

• 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:
  • Trade logic and calculation validation
  • Strategy alignment confirmation
  • Anomaly detection and investigation
  • Tax implication analysis
  • Trading cost assessment
  • 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

• Compliance Verification:
  • Securities regulations (Regulation Best Interest, fiduciary duty, etc.)
  • Firm policies and procedures
  • 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

• 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

• 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

Our Rewards

We offer a robust package of employee perks and benefits,…