1. Christopher M. Morris
1586 Jefferson Ave
West Islip, NY 11795
Christopher.Morris11795@Yahoo.com
(631) 587-1971 (H) (917)-608-4658 (C)
SUMMARY
Highly accomplished, motivated professional with expertise in operations, business development, project
management, compliance, and client service roles. Skilled in credit analysis, financial planning, modeling,
competitive analysis, forecasting, securing key clients and generating revenue while increasing client
retention, service satisfaction and project completion within time and budget constraints.
PROFESSIONAL EXPERIENCE
J.P. Morgan, New York, NY May 2013 – Present
Vice President – Prime Broker Services, Broker Dealer Services - Investment Banking
• Prime Broker, custodian, for six large Broker Dealers supporting over 1500 introduced Hedge
Funds ($44mm 2014 revenue). Develop a strategic partnership with clients to expand our
footprint and develop new revenue opportunities through attrition by cultivating relationships
with C level principals to grow their business and increase our share of the wallet by identifying
consolidation, cross selling opportunities, and the utilization of J.P. Morgan products and
services.
• Project Management - manage, track and support multiple simultaneous projects within time and
cost constraints, redesigns, migrations, enhancements and implementation of new products and
services for the business unit.
o Define project roles and responsibilities and allocate project resources to tasks
accordingly and document business requirements.
o Continuous reporting to senior management on stages of development and
troubleshooting of data issues.
o Interface with clients, operations and vendors to address product gaps to ensure a
seamless migration and increased product usability for internal and external users.
• Integration – onboarding new introduced clients, encompassing vetting new EOD trade
reporting, user management, building API’s, fixed connections and reporting profiles. Support
senior management and sales efforts by responding to RFP’s by providing subject matter
expertise on J.P. Morgan’s business processes and proprietary technology for new business
development.
• Compliance−−−− Partner with AML and Compliance to mitigate risk by monitoring client trading
activities, KYC, deposits/withdrawals and operational controls to adhere to regulatory
requirements and minimize financial and reputational risk to the firm.
• Risk Management−−−− Enhanced leverage, Reg. T, margin reviews for prospects and continuous
review for existing clients to ensure collateral requirements and mitigate risk.
GM Advisory Group, Melville, NY Sept 2012 – Nov 2012
Relationship Manager – Wealth Management
• Manage 60+ financial relationships with the top revenue producing clientele; maintain a 100%
client retention rate while averaging over $300k in new assets monthly through attrition. Conduct
monthly portfolio reviews to determine suitability to objectives and changing market conditions.
• GMAG Hedge Fund statement preparation and review. Distribute audited monthly client capital
statements, monthly performance reports and quarterly outlook statements.
• Partner with outside counsel on estate planning, tax consulting and life insurance products.

2. J.P. Morgan, New York, NY Feb 2006 – Aug 2012
Vice President, Relationship Manager – Broker Dealer Services, Investment Banking
• Operational liaison, custodian, for approximately 80+ Introduced Institutional Broker Dealers,
Hedge Funds, Mutual Funds, their clients, and J.P. Morgan ($120 billion in assets July 2011) to
share information pertaining to all products and services. Cultivate relationships through regular
office visits and weekly conference calls to assess business and address operational concerns,
enhancements efficiently and facilitate introductions to complimentary business units to drive
business development and maximize sales.
• Customer Service - develop a strategic partnership with every client to expand our footprint and
develop new revenue opportunities. Strategize with clients to grow their business by identifying
consolidation, cross selling opportunities, and the utilization of J.P. Morgan products and services
(i.e. Execution Services, market data, cash management and investment products).
• Trading - Thorough understanding of FX, equity, option, mutual fund, fixed income and the
various exchanges to ensure proper settlement, customer and firm compliance with regulatory
reporting requirements. Responsible for whole life cycle of domestic and international trading
activity: Prime Broker, DTC, FED, local settlements, prematching, monitoring collateral
requirements (Reg. T, House, Portfolio Margin), Reg. Sho securities lending requirements, ADR
conversions, and cross-border settlements.
o Detail understanding of P&L calculations; perform daily trade reconciliations to resolve
pricing, fixed income factors, cost basis and book and records discrepancies.
o Syndicates – managed multiple IPO/SPAC deals for investment banking clientele. Secure
short term financing for Best Efforts, Firm Commitment and AON allocations. Partnering
with syndicate desk to process SEC registration and DWAC settlements.
• Develop strong business partnerships on the operational and corporate levels to ensure SLA’s,
and best practices for client satisfaction and improving loyalty (i.e. IT, Executions Services,
Operations, Trade Support, Pricing, Margin, Risk Management).
• Proven leadership record with initiative abilities, identify inefficiencies and process
enhancements to improve operations for servicing both internal and external customers.
TD Waterhouse Investor Services Inc., New York, NY 1999 - 2006
Relationship Manager, Investment Consultant – Private Client Services
• Managed over 210+ financial relationships with the top revenue producing clientele in excess of
$800MM, maintain a 99.1 % client retention rate while averaging $20MM in new assets monthly.
• Trader - Equity, Option, Mutual Fund and Fixed Income trader, analyze portfolios to determine
suitability to clients’ objectives and implemented asset allocation modifications to align to
investment goals and changing market conditions. Actively promoted and cross-sold a complete
range of proprietary financial products.
• Registered Options Principal - extensive knowledge of spreads, straddles and combinations
Assistant Manager - Resource Officer
• Supervised 10-15 Account Officers by monitoring trading activity, call volumes, delivery of
accurate and timely information on daily market activity to enhance customer experience and
improve client loyalty. Developed standard operation procedures, internal training materials, and
order placement policies to develop associate expertise and improve trading efficiency.
• Partnered with Private Client Services, Waterhouse Investment Center and other business groups
in gathering assets to introduce and integrate new products and services.
EDUCATION Bernard M. Baruch College, New York, NY
Bachelor of Business Administration –Accounting
LICENSES Series 4, 7, 9, 10, 63 and 66 certified