Portfolio Management Oversight Dashboard

Learn how to navigate the Portfolio Management Oversight Dashboard

What is it?

• The Portfolio Management (PM) Oversight Dashboard is a single source for all your data. With flexible dashboards, combine multiple reports to help everyone view the metrics that matter. There are specific dashboards for team members to track progress toward their goals.

To view the The Portfolio Management Oversight Dashboard: 

1. Navigate to the sidebar, and click on "Reporting & Data".
   
2. Click on Dashboards.
   
3. If you have multiple dashboards you can click on the arrow to scroll to find "Portfolio Management Oversight".
   

What is on the Dashboard 

Here is an overview of what the dashboard looks like:

The Report Boxes that you are able to view are:

• Know Your Client (KYC) Updates Overview 
• KYC Updates Due in Next 30 Days 
• KYC Updates Submit in Last 7 Days 
• KYC Update Tickets Pending Signature 
• Deficient KYC & Suitability Update Tickets Outstanding 
• Associate Portfolio Manager (APM) KYC Updates - Last 30 Days 
• PM KYC Updates Completed - Last 30 Days 
• KYC & Suitability Deficiency Review KYC Update Tickets 
• Client Information Form (CIF) Deficiency Review KYC Update with Onboarding or PM
• Draft KYC Updates Outstanding 
• Compliance Review Signed CIF KYC Update Tickets 
• Compliance KYC and Suitability Review KYC Update Tickets 
• Transition Meetings Completed by APMs and PMs In Last 30 Days 
• Portfolio Manager Review Tickets Outstanding greater than 30 Days 
• Outstanding: New Account Applications Not yet Submitted greater than 24 hours old 
• New Account Applications not yet submitted 
• Deficient New Account Application Tickets Outstanding
• Ad-Hoc Meetings Completed by APMs and PMs in the last 30 Days
• Outstanding: All In-Kind Deposit Tickets in outstanding greater than 24 hours
• Outstanding: All Cash Deposit Tickets in outstanding greater than 24 hours
• KYC UPDATE - KYC & Suitability Review Tickets Pending Compliance Review
• KYC UPDATE - Review Signed CIF - Tickets Pending Compliance Review

Understanding the Report Boxes

KYC Updates

• There are four reports that help you monitor the number of contacts, track upcoming contacts due within the next 30 days, and analyze crucial metrics related to the progress of KYC updates.

Deficient

• There are two different Reports that monitor the deficient tickets which are: Deficient KYC & Suitability Update Tickets Outstanding and Deficient New Account Application Tickets Outstanding
• These Reports allow you to track the amount of tickets and who the tickets are assigned to. 

Count of tickets

• There are two different Reports that monitor the count of tickets which are: APM KYC UPDATES - Last 30 Days and PM KYC UPDATES COMPLETED - Last 30 Days
• These Reports will allow you to track the amount of tickets and which Portfolio Manager is assigned to the ticket. 

• There are four different Reports that allow you to track which tickets are in review. They are: KYC and Suitability Deficiency Review KYC Update Tickets, CIF Deficiency Review KYC Update with Onboarding or PM, Compliance Review Signed CIF KYC Update Tickets Outstanding, and Compliance KYC and Suitability Review KYC Update Tickets.
• Each of these Reports allow you to track the amount of tickets, who they are assigned to and the action item. 
  
• By Clicking on the assigned person's name, you are able to view the action item as well as the ticket status, portfolio manager, pipeline, and any other relevant information. 
  

Meetings 

• There are is two different Reports that allow you to track how many meetings have been completed. They are: Transition Meetings Completed by APMs and PMs in the last 30 Days and Ad-Hoc Meetings Completed by APMs and PMs in the last 30 Days.
• These Reports allow you to monitor the amount of contacts and who the activity was created by or assigned to. 
• By clicking on an individual (APMs or PMs) name you can also see more key information about meetings. 
  
  
  

Outstanding 

• There are four different outstanding Reports which are: Outstanding: New Account Applications Not yet Submitted greater than 24 hours old, Deficient New Account Application Tickets Outstanding, Outstanding: All In-Kind Deposit Tickets in outstanding greater than 24 hours, and Outstanding: All Cash Deposit Tickets in outstanding greater than 24 hours. 
• The two "New Account" outstanding reports allow you to track the count of tickets and the Advising Representative. 
  
• The two "Deposit" outstanding reports analyzes the deals and who the associate advising representative is. 
  
• Furthermore, if you click on the associate advising representative, you can view more key details including the Associate Name, Advising Representative, Deal Stage, Deal Owner, Record ID, and Ticket ID.
  

KYC Update Count of Tickets 

• At the bottom, there are two more reports helping you keep track of compliance review called: KYC UPDATE - KYC & Suitability Review Tickets Pending Compliance Review and KYC UPDATE - Review Signed CIF - Tickets Pending Compliance Review