Role
Head Trader
Location
100% onsite in Scottsdale, AZ
(Relocation assistance is available)
Relocation
Possibly for the right candidate.
Reports to
Deputy CIO
Employment Type
Full-Time, W2, Direct Hire
Benefits
Medical, Dental, Vision health insurance. Life Insurance. LTD. STD. 401k. PTO.
The Company
We represent a modern, unified wealth management enterprise—combining a leading SEC-registered RIA and a fully licensed Broker-Dealer under one platform. Together, we deliver institutional-grade investment management, execution, and advisor support through a connected, data-driven architecture that spans all major custodians and asset classes. Here, trading is not simply a back-office function, it is a strategic pillar of our investment philosophy. The Head Trader plays a pivotal leadership role in ensuring every trade, rebalance, and model implementation reflects the same precision, integrity, and discipline that define our firm.
The Opportunity
We are seeking an experienced Head Trader to lead trading and execution across equities, fixed income, ETFs, mutual funds, and options.
This individual will oversee daily execution, model implementation, and portfolio rebalancing for advisor-directed accounts, firm-managed strategies, and proprietary ETFs. The role requires deep expertise in multi-custodian trading environments, model portfolio management, and cross-functional collaboration.
Reporting directly to the Deputy CIO, the Head Trader will also serve as a member of the Investment Committee, contributing to strategic discussions on asset allocation, model construction, and market positioning.
This position combines the technical rigor of institutional trading with the communication acumen needed to engage directly with advisors and clients.
Here, trading is where market insight, technology, and client impact converge. The Head Trader will play a critical role in leading execution across both the RIA and Broker-Dealer entities, overseeing proprietary ETF rebalancing, and shaping firmwide trading strategy through active participation on the Investment Committee.
This is a unique opportunity to join a dynamic, growth-oriented organization where precision, partnership, and performance define success.
Responsibilities
Trading & Execution
· Oversee and execute all trading activity across multiple custodians and asset classes with precision, timeliness, and adherence to best execution standards.
· Manage and execute trades for advisor-driven portfolios, firm-managed models, and third-party strategies within UMA and TAMP frameworks.
· Lead trading and rebalancing for proprietary ETFs, ensuring alignment with investment strategy, market conditions, and regulatory standards.
· Perform transaction cost analysis, liquidity monitoring, and performance attribution to continuously improve execution quality.
· Partner with the CIO and Deputy CIO on tactical execution decisions and portfolio adjustments.
Advisor & Client Engagement
· Serve as the senior point of contact for advisor trading inquiries, portfolio transitions, and trade related escalations.
· Partner with advisors and their support teams to ensure smooth implementation of models, rebalances, and client-specific execution requests.
· When appropriate, engage directly with clients to communicate trade rationale, market outlook, or execution details.
· Provide education and training to advisor teams on trading processes, best practices, and platform capabilities.
Investment Committee Participation
· Serve as an active member of the Investment Committee, contributing trading insights, liquidity perspectives, and real-time market observations.
· Participate in discussions around asset allocation, portfolio construction, and ETF rebalancing schedules.
· Collaborate with the CIO and Deputy CIO on new investment strategy development and model design.
Manager & Model Coordination
· Work closely with third-party asset managers and strategists to ensure accurate, timely execution of model updates, rebalances, and sleeve-level changes.
· Coordinate across internal teams to maintain consistency between firm-managed portfolios and externally managed models.
Risk, Compliance & Oversight
· Uphold strict adherence to regulatory standards under our RIA and Broker-Dealer.
· Oversee trade review, reconciliation, exception reporting, and audit documentation.
· Monitor account drift, trade errors, and execution anomalies; implement remediation protocols as needed.
· Maintain transparent reporting and communication with compliance and supervisory personnel.
Operational Leadership
· Supervise and mentor trading and investment operations staff, fostering a culture of accuracy, accountability, and collaboration.
· Partner with technology and operations teams to refine automation, workflows, and system connectivity across custodians.
· Identify and implement continuous process improvements that enhance scale, efficiency, and advisor experience.
Qualifications, skills, and experience
Education, Licenses, & Designations:
- Required - Bachelor’s degree in Finance, Economics, Accounting, or Business (MBA preferred).
- Required - FINRA Series 7, 24, and 63 on day one. Series 4 within 6 months.
- Preferred: CFA, CIMA, CAIA
Required Qualifications:
- Bachelor’s degree in finance, economics, accounting, or business
- 7+ years trading or portfolio management experience:
- In equities (stocks), fixed income (bonds), derivatives (options/futures), mutual funds, and ETFs.
- Experience managing and rebalancing proprietary ETFs or sub-advised portfolios.
- At an RIA, broker-dealer, asset management firm, or institutional trading platform.
- Strong understanding of both RIA and Broker-Dealer trading, supervision, and compliance frameworks.
- Strong track record with major custodians: Pershing, Fidelity, Goldman Sachs, Charles Schwab
Preferred Qualifications:
- MBA, CFA, CIMA, or CAIA
Miscellaneous
· Must be based in or willing to relocate to Scottsdale, AZ.
· The company cannot sponsor a Visa.