Casey Seitz Email & Phone Number

Moved to Mercer Advisors during merger 5/2022Responsible for Operations and Compliance tasks including: - Analyzing daily, monthly and quarterly exception reports - Coordinating firm continuing education program and annual compliance meeting. - Coordinating Annual AML Audit- Overseeing the daily workflow of the Operations Team in areas such as cashiering, account maintenance, compliance and operations system initiatives

Joplin, Missouri Area

Greater Omaha Area

Fees Team Manager (05/09-7/12): Responsible for overseeing the workflow of the Fee Team, including but not limited to: fee schedule entry and audit, billing processes, pro-active reporting, oversight and coordination of fee related projects, employee reviews, and employee development through one on one meetings, facilitation of cross training opportunities and serving as a resource to other teams and departments to resolve escalated issues relating to the duties of the Fee Team. Project Management experience through exploration and implementation of computer systems Operations Fee Team Leader(08/08-05/09): Responsible for Operations of the Fee Team as described above. Promoted during a department restructure. Compliance Communication Review Analyst (04/08-07/08): Duties include reviewing representative advertising documents and stationary to insure compliance with applicable firm and industry regulations.Team Leader Operations Service (05/07-03/08): Primary responsibilities included overseeing the workflow of the cashiering team including: check, stock receipts, internal transfer requests, researching and resolving escalated issues that relate to the responsibilities of the cashiering team, participation in employee reviews and coordinating and facilitating cross training.Fee Engine Specialist (07/06-5/07): duties included establishing, maintaining, and auditing fee based brokerage accounts, completing reporting to insure the accuracy of fees charged to clients and paid to representatives and resolving errors in a timely manner.

Last positioned as a Resource Desk Senior Broker. Responsible for assisting in the performance development and training coordination for a roster of 40-50 associates as Performance Development Coach, obtained project management experience by leading an audit of training materials, developed computer based training modules used in the new hire process, taught new hire classroom sessions covering industry topics, provided support by providing coaching, and resolving escalated client issues. Gained risk management experience by implementing firm Anti-Money Laundering policy, margin call procedures and loss prevention policy.Developed Sales skills as a member of the outbound sales team, as a Registered Representative, and by working with various levels of management to spread the performance development initiative.

Served as a Client Service Representative for self-directed brokerage accounts.

Developed established customer service skills by meeting with corporate clients of the branch office, assisted in the billing of auto insurance claims.

Served as a Client Service Representative for self-directed brokerage accounts, and assisted with Margin and Options expiration callouts.

Bachelor Of Science Degree, Finance

Education record