Director, Head of RIA Portfolio Management

APEX Fintech Services•Austin, NJ

11h•Hybrid

About The Position

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. 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.

Requirements

Deep regulatory expertise
Strong quantitative skills
Ability to manage complex, multi-client trading workflows in a highly regulated environment
Seasoned portfolio management professional

Responsibilities

Oversee the complete daily trading cycle from pre-market preparation through end-of-day reconciliation for multiple RIA client books
Manage separate, isolated trading sessions for each RIA client, ensuring proper segregation of strategies, compliance requirements, and audit trails
Review and approve algorithmic trade proposals generated by Apex's rebalancing and direct indexing technology, validating trade logic, calculations, and alignment with client strategies
Conduct comprehensive trade reviews including: Trade logic and calculation validation, Strategy alignment confirmation, Anomaly detection and investigation, Tax implication analysis, Trading cost assessment, Market impact evaluation
Monitor portfolio exposures, concentration limits, and trading thresholds across all client books
Submit approved trades to Apex Basket Trading Application and monitor execution quality throughout the trading day
Handle partial fills, failed orders, and trading exceptions; investigate root causes and determine appropriate remediation
Ensure all trade proposals and executions comply with: Securities regulations (Regulation Best Interest, fiduciary duty, etc.), Firm policies and procedures, Client-specific investment guidelines, Trade concentration limits and restrictions
Ensure equitable treatment of retail investors within each client's book and verify best execution practices
Maintain complete documentation of all session activities, trade proposals, review decisions, compliance checks, submissions, and exceptions
Support preparation of regulatory filings, disclosures, and client reporting requirements
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
Load and configure client-specific investment models, rebalancing parameters, and direct indexing preferences
Support onboarding of new RIA clients, including configuration setup, testing, and launch coordination
Monitor portfolio performance, tracking error, tax efficiency, and rebalancing effectiveness
Provide regular updates to internal leadership and external clients on portfolio activities, exceptions, and compliance matters
Supervise Portfolio Manager (FTE-2), providing guidance, training, and performance feedback
Identify opportunities to enhance operational efficiency, reduce errors, and improve scalability
Work closely with technology teams to optimize the rebalancing platform and trading workflows
Build institutional knowledge and document best practices for portfolio management operations