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 help 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, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers.


At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest.


When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees.


Together, we're shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. - grit, results, empathy, accountability, and teamwork - with Apex.


We're proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we've created. Here are just a few of the many awards we've recently received:


Best Places to Work


2026, 2025, 2024, 2023 - Presented by BuiltIn


WealthTech of the Year


2025 - Presented by US FinTech Awards


The World's Top 250 Fintech Companies


2024 - Presented by CNBC


ABOUT THIS ROLE

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.

Key Responsibilities

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
  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 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

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

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

Our Rewards

We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.

EEO Statement

Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, veteran status, marital status, or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.

Disability Statement

Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.