About The Position
J.P. Morgan Wealth Management is seeking a Supervision Portfolio Oversight Manager to investigate advisory account-level performance outliers and turn complex portfolio outcomes into clear, defensible oversight decisions. The role analyzes investment decisions and market context, validates advisor explanations, and prepares documentation and committee-ready materials that meet governance and audit expectations. The manager collaborates with Financial Advisors, field leadership, home office partners, and senior stakeholders to facilitate reviews, escalate issues when appropriate, and ensure governance actions are completed. The position operates in a regulated wealth management, registered investment advisor, and broker-dealer environment with an evidence-based, client-focused approach. It also contributes to workflow and tooling enhancements, including user acceptance testing, and develops subject matter expertise in monitoring controls and operating processes.
Requirements
- At least 5 years of experience in portfolio supervision/oversight, surveillance, risk, investment due diligence, or portfolio analytics, primarily focused on exception/outlier reviews.
- Active Series 7 and Series 66 licenses, or Series 63 and Series 65 licenses; alternatively, a CFA designation with the ability to obtain required licenses within 120 days of hire.
- Working knowledge of investment strategies and portfolio construction across equities, fixed income, exchange-traded funds, mutual funds, and options.
- Ability to analyze portfolio performance at account, position, transaction, and risk/exposure levels.
- Strong analytical skills, including navigating multiple systems, reconciling data sources, and developing fact-based conclusions.
- 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 and ability to manage multiple reviews, competing priorities, and deadlines.
- Proficiency in Microsoft Excel, PowerPoint, and Word, and ability to maintain audit-ready logs, notes, and reporting with attention to detail.
Nice To Haves
- Bachelor’s degree preferred.
- FINRA Series 9/10, Series 24, and/or CFP (Certified Financial Planner) certification strongly preferred.
- 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.
- Retail brokerage and/or annuity experience strongly preferred.
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 levels, linking outcomes to investment decisions and market context.
- Review, validate, and appropriately challenge advisor dispositions for completeness, internal consistency, and alignment with investment processes 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 stakeholder committees and complete post-committee actions.
- Maintain calendars, minutes and 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 expertise in monitoring controls and operating processes.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
