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

 

Lead reviews of advisor-led portfolio performance outliers, challenge rationale, and deliver committee-ready oversight recommendations.