Portfolio Manager

Position Overview

We are seeking an experienced Portfolio Manager/ Analyst to join the existing company team. You will be responsible for portfolio and sector management and fundamental research. You should be comfortable making portfolio decisions and stock recommendations based on fundamental analysis, formed investment rational, as well as peer review in assessing specific stock recommendations. In this position, you will collaborate regularly with the Portfolio Management team to collect and analyze large sets of data, develop and conduct analyses, design and analyze underwriting strategies and make recommendations to manage customer risk, optimize pricing, maximize revenue, improve margins, and create significant value for the business. 



  • Handle case notes, processing correspondence, maintaining client case files and filing performance reports, account forms and other advisory paperwork
  • Responding to home office account inquiries
  • Maintaining annual review notes in Envestnet
  • Monitoring and stocking marketing materials for Signature advisory programs
  • Monitoring industry trends and research
  • Ensuring NMIS and NMWMC compliance requirements are implemented and followed
  • Portfolio construction
  • Tactical asset movement
  • Market research software evaluation
  • Portfolio rebalancing
  • Calculating basis and tax liabilities for new non-qualified accounts
  • Tax loss harvesting

Proposal and Case Preparation

  • Prospecting on behalf of the employing WMA for new advisory clients
  • Gathering information for WMA meetings with client/prospect
  • Preparing advisory annual review information
  • Preparing investment policy statement, needs-based analysis or financial plan
  • Recommending fund portfolio options

Processing Accounts

  • Preparing and processing all paperwork needed for investment/advisory accounts
  • Monitoring, processing and following up on asset transfers and on initial and subsequent funding of advisory accounts
  • Implementing initial and subsequent asset allocation trades
  • Identifying need for switch letter and mailing appropriate forms to clients
  • Discussing potential rollover opportunities from other retirement plans for variable and mutual funds
  • Processing proposal amendments, monitoring alerts and annual reviews in Envestnet
  • Executing buy or sell orders and rebalancing orders in Envestnet and maintaining asset allocation
  • Following up on trade rejects and resolving all trade-related issues
  • Monitoring holdings for program eligibility and administering advisory accounts

Advisory Client Meetings

  • Meeting with advisory clients for fact finding and conducting existing advisory client reviews
  • Completing risk tolerance (personal profile) questionnaire with client
  • Making security recommendations and modifying asset allocations for existing advisory client accounts
  • Participating in client meetings for financial or investment plan development or presentation

Client Service

  • Corresponding with clients to handle advisory related service issues
  • Contacting clients on behalf of the WMA for developing advisory plan and providing technical explanations of investment plan
  • Explaining advisory products or advisory performance to existing clients
  • Providing services and administering advisory products
  • Accepting redemptions/withdrawals from clients and communicating instructions to home office
  • Discussing tax consequences, costs and advisory fees
  • Maintaining daily tickler system for account follow-ups and service requirements
  • Performing cashiering functions
  • Running performance reports in Envestnet, Morningstar and NMCIR


  • CFA
  • Associate Financial Representative contract required
  • Series 7  
  • The following insurance designations are desired: CLU, ChFC, CLTC or CFP
  • Five years in securities industry with experience in advisory required
  • Trading experience, ability to process personal securities transactions
  • Familiarity with Microsoft applications and data entry and information retrieval software
  • Excellent oral and written communication skills
  • Strong critical thinking, financial analysis and problem-solving skills required
  • Ability to manage multiple diverse projects and assignments in a timely and quality manner
  • Strong attention to detail with the ability to work with a high degree of accuracy
  • Demonstrated ability to maintain effective working relationships with clients
  • Ability to look beyond the obvious and not stop at the first answers
  • Willingness to learn
  • Ability to embrace change and work in a fast-paced environment
  • Able to work both independently and in a team
  • Ability to maintain confidentiality


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