Turn complex portfolio outcomes into clear, defensible oversight decisions that strengthen client outcomes and supervisory confidence. In this role, you will investigate account-level performance outliers, connect results to investment decisions and market context, and ensure advisor’s explanations are complete and internally consistent. You will collaborate closely with Financial Advisors and senior stakeholders, preparing materials that stand up to governance and audit expectations. Your work will help drive timely escalation, decisions, and closed-loop follow-through.
As a Portfolio Oversight Manager in Wealth Management Supervision, you will lead structured reviews of advisory portfolio performance outliers and translate your findings into clear documentation and committee-ready materials. You will work with us to validate advisor-provided rationale, facilitate review discussions, and ensure governance actions are executed through closure. You will help us operate effectively in a regulated wealth management, registered investment advisor, and broker-dealer environment while maintaining an evidence-based, client-focused lens.
Job responsibilities
- Identify and triage advisory performance outliers using dispersion comparisons and key performance drivers
- Analyze client accounts at the portfolio, position, transaction, and risk/exposure level to link outcomes to decisions and market context
- Review, validate, and appropriately challenge advisor dispositions for completeness, internal consistency, and alignment to the investment process and account constraints
- Schedule and lead review meetings with Financial Advisors, documenting discussions, outcomes, and next steps
- Maintain action items and drive closed-loop follow-up directly with Financial Advisors
- Gather and reconcile supporting research across internal systems, portfolio analytics, and market data tools to support defensible conclusions
- Draft clear case narratives and prepare committee-ready exhibits and pre-reads for supervisory and governance review
- Prepare and present escalation packages to key stakeholder committees and execute post-committee actions through completion
- Maintain calendars, minutes/notes, decision logs, action logs, and business-as-usual reporting in an audit-ready manner
- Liaise with field leadership and home office partners to progress and close governance outcomes
- Support workflow and tooling enhancements, including user acceptance testing, and build subject matter expertise in monitoring controls and operating processes
Required qualifications, capabilities, and skills
- FINRA Registrations: Series 7, Series 66 (or equivalent)
- 5+ years in portfolio supervision/oversight, surveillance, risk, investment due diligence, or portfolio analytics with a primary focus on exception/outlier reviews.
- Working knowledge of investment strategies and portfolio construction across equities, fixed income, exchange-traded funds, mutual funds, and options
- Demonstrated ability to analyze portfolio performance at the account, position, transaction, and risk/exposure levels
- Strong analytical skills with the ability to navigate multiple systems, reconcile data sources, and develop fact-based conclusions
- Proven ability to evaluate advisor rationale and supporting documentation against written program guidelines and supervisory standards
- Ability to create clear, defensible narratives supported by observable evidence
- Strong written communication skills, including producing committee-ready documentation and exhibits
- Strong verbal communication skills, including leading discussions with Financial Advisors and presenting to governance stakeholders
- Strong organizational skills with the ability to manage multiple reviews, competing priorities, and deadlines
- Proficiency in Microsoft Excel, PowerPoint, and Word and strong ability to maintain audit-ready logs, notes, and reporting with attention to detail
Preferred qualifications, capabilities, and skills
- FINRA Registrations Preferred: Series 9/10, and/or Series 24
- Experience with advisor-managed or “representative as portfolio manager” programs, including performance dispersion or outlier monitoring
- Experience preparing and presenting governance materials and driving closed-loop execution of committee decisions
- Familiarity with portfolio analytics and market data tools such as BlackRock Aladdin Wealth, Morningstar Direct, and Bloomberg
- Experience contributing to process, workflow, and control enhancements
- Experience reviewing advisor-entered “Evidence of Advice” documentation for adherence to advisory program guidelines and supervisory expectations