This document is a resume for Nicki Morris, a British national seeking a position in sales or management. Key information includes her experience as an Internal Audit Manager for HSBC Bank where she led global audits, and as a Senior Relationship Manager for HSBC where she exceeded sales targets. She has over 20 years of experience in banking and financial services.

1. Nicki Morris (Nicola Jayne Morris)
12 Cocked Hat Park
NI No: JA906794 C Sowerby
British National Thirsk
Tel 07479696702 North Yorkshire
nicki.j.morris@googlemail.com YO7 3HB
Full UK Driving License
Summary
• A highly motivated, ambitious individual with proven frontline sales record and excellent
communication skills.
• Team focussed with strong leadership capabilities
• An ability to lead and motivate others; I can influence positive change within challenging
circumstances.
• Strong analytical and planning skills combined with the ability to coordinate the efforts of many to
achieve a common goal.
Education and Qualifications
2009 Guernsey Insurance Certificate
2004 Certificate in Mortgage Advice & Practice (CeMap)
2001- 2003 Certificate for Financial Advisors (CeFA) – from The UK’s Chartered
Insurance Institute.
1994-1997 BA (Hons) Law & Psychology – DeMontfort University
Employment History
01-2013 – 12.2014 Global Internal Audit Manager , HSBC Bank Holdings Hong Kong.
• Identifying key risks, control deficiencies, regulatory failures within HSBC Bank’s Global Retail and
Wealth Management business.
• Preparing and conducting individual thematic, governance and framework audits; tasks include scope,
audit approach, resourcing and logistic for a number of worldwide locations, co-ordinatng a global team
based in London, Hong Kong and New York.
• Develop team members by providing training, coaching and mentoring according to individual and
team requirements
• Lead auditor for Audit Fieldwork, this includes oversight of all auditors both in the field and providing
support from base locations; also key interaction with HSBC management being audited typically
country CEO and department heads including an exit meeting with all to agree the factual accuracy of
audit findings.
Key Highlights
 Developed and Executed a Global Themed Audit for Conduct Risk
 Identified and agreed with Senior HSBC Management material high risk findings and
collaborated with management to develop effective and feasible remedial action plans
 Guest Auditor for FCC, AML, Compliance related Audits
06-2010 – 12-2012 Senior High Net Worth Relationship Manager, HSBC Bank Intl Hong
Kong.
• Remotely managing and developing a portfolio of Highest Net Worth customer relationships in
Singapore. Changing from a face to face operation to remotely managing high value client relationships
following the closure and relocation of the office. Primarily this involved business retention and
complaint handling as a result of this move.

2. • Continuation of support and guidance to the staff members who had also relocated and assisting them
with the transition. Through strong leadership I drove the continuance of service and overall customer
satisfaction of their portfolios in addition to my own.
• I identified an effective strategy to ensure a consistent and positive link with customers and internal
stakeholders within Singapore, through its implementation and strong and continued communication I
maintained relationships, retained business, kept the integrity and reputation of the business and rebuilt
relationships.
• I continued to build a network with HSBC Singapore to eventually drive an increase of referrals to
HSBC International. This has successfully resulted in measurable increased sales.
• Currently 154% of wealth target, 200% FX target, 183% recruitment targets YTD.
• Business retention through strong and consistent relationship management resulting in excellent
customer feedback.
Key Highlights
 Over 100% of all year end financial sales targets achieved by July 2012
 Designed a strategy for the Asia office, communicating this to the team to drive up customer
service satisfaction measures, resulting in a measurable, significant improvement.
 Tailored a business plan to streamline and improve operations and processes between the Asian
offices and the Admin Team based in UK.

3. 01/2010– 06/2010 Vice President – Senior Relationship Manager/Assistant Senior Regional
Manager, HSBC Bank Intl, Singapore.
• Managing and developing a portfolio of Highest Net Worth customer relationships in Singapore.
• Broadening and deepening relationships both with customers and key internal stakeholders whilst
observing stringent compliance and regulatory guidelines.
• Line Management of 4 Relationship Managers responsible for the development and guidance of these
individuals, driving them achieve the teams targets and develop the business by strong communication
and support.
• Actively influencing promotion of HSBC International through intra group referrals within Singapore
particularly Retail Banking, Commercial Banking and Private Bank.
• Identifying referrals to International Wealth Management and Private Bank Singapore, through
proactive relationship management.
• I was responsible as a senior manager, within a sensitive regulatory environment and working alongside
HSBC Bank Singapore, to lead from the front and ensure, through regular monitoring, that the team
constantly observed and reinforced the principles and integrity of HSBC Bank.
Key Highlights
 Took on the role of Senior Regional Manager -Due to the residing SRM relocation to UK. I was
acting Senior Regional Manager in Singapore assuming all responsibilities, in addition to my
own role as Senior Relationship Manager, until its subsequent merge with Hong Kong office .
 Closure of the Singapore office – Due to a restructure, I was ultimately responsible for the
closure of the Singapore office and relocation of all operations and staff to Hong Kong, including
liaising with compliance, immigration, human resources and marketing. At the same time
maintaining day to day running of the business and managing the communication of this change
to the customers.
12/2006- 12/2009 Independent Wealth Manager, HSBC Bank Plc, Guernsey, Channel Islands
• Providing independent holistic wealth management solutions to HSBC Premier customers and HSBC
Commercial customers in Guernsey and Alderney.
• Strong proven sales record of financial planning solutions Investments, pensions and life products as
well as cross sales to other parts of the business.
• Devising and implementing an effective strategy in conjunction with relationship managers and
commercial managers to provide integrated banking and wealth solutions for existing and new clients
• Regional travel liaising with customers, key internal stakeholders and external product providers to
drive up wealth sales.
• Delivered regular training to HSBC staff (managerial and clerical) both on a one to one basis and group
presentation. Topics include a variety of subjects; such as opportunity spotting and effectively
identifying needs.
• A leading figure in HSBC business development through planning and organising client events,
including working with other HSBC entities (Commercial Banking, Retail, Private bank) to target
specific client groups and promote cross referrals.
Key Highlights
 Year ending 2008 I was 2nd highest performing IWM within the London & Offshore region.
 A key member of the planning and execution of the opening of both HSBC Premier Centre,
Guernsey alongside the simultaneous opening of HSBC St Peter Port Retail Store. I was a
driving force behind the implementation of this strategy from conception to the delivery and
clear communication to all staff in both centres.

4.  Having identified that I was the only female IFA throughout Guernsey Island I identified a
strategy of how I could harness this unique position as a unique selling point (USP) for HSBC
Wealth Management.
04/2000- 11/2006 Financial Planning Manager HSBC Bank Plc, UK (Various)
• Responsible for training and ongoing development of HSBC staff.
• Building strong relations with all members of branch to establish consistent quality referrals for financial
planning needs
• Developed knowledge of financial planning and mortgages to become fully accredited within 2 years.
• Advised HSBC personal and small business customers on Mortgages, Life, Pensions and Investment
Products.
• Mentored and provided on the job training to new advisors recruited to the FPM role.
• Worked in a variety UK HSBC branches from small community to main city flagship branches.
11/1997 – 03/2000 Senior BACS Representative, HSBC Global Payments & Cash
Management, Leicester, UK
• Helpdesk representative, fielding corporate client enquiries regarding BACS transactions
• Account set up for BACS and AUDDIS
• BACS Payment handling and out of hours monitoring
• Telesales
Up to 1997 Part Time & Temporary Work
• Receptionist – Solicitors, Fashion Catalogue, Canon Photocopiers, Hotel
• Telemarketing
• Shop Assistant
• Waitress
• Admin assistant
• Groom
• Bar Person
Other Skills and Professional Memberships
• Member CII Chartered Insurance Institute
• Excellent interpersonal communication skills at all levels.
•Grade 2 Riding for the Disabled (RDA) assistant instructor
References
• Both professional and academic references are available upon request.