Robert Casey Email and Phone Number
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After years in the corporate world, I am now a Small Business Owner helping others to improve customer engagement, loyalty and retention. Mobile High 5 provides customized solutions to increase the frequency of customer purchases through tailored marketing programs and automated communications using SMS Text. We are focused on the mobile channel and have helped hundreds of small to mid-sized businesses achieve savings from efficiencies and to increase revenue. In my corporate background, Through forensic testing, I uncovered issues that others missed and through proactive risk management, I helped firms avoid regulatory landmines. I showed firms where opportunities existed, provided solutions and delivered results to avoid risk.I'm an executive with extensive compliance, risk, ethics and leadership experience at top financial services firms with in-depth knowledge of regulatory requirements, controls and operations. I'm a successful leader focused to mitigate risk, enhance the culture and transform the control environment. I continuously managed ethics / risk / compliance programs including SEC rules 38a-1 & 206(4)-7. I spearheaded new controls, policies and processes to address gaps and new regulatory requirements, partnering with business operations. Proven track record of demonstrating analytical skills to prevent, detect and correct violations. EXPERIENCEMy professional experience includes over 5 years as a small business owner, plus 20+ years at three investment firms, Fidelity Investments, Hartford Funds, Wells Fargo Advantage Funds (Evergreen Investments) and a consulting firm. EDUCATION & TRAININGI earned my MBA from the University of Connecticut and my BA in Economics from the University of Massachusetts / Amherst. 2016 Project Management Coursework includes: PMP Training, MS Project 2016, Project Management Essentials, Project Management Fundamentals EXPERTISE IN SMALL BUSINESS MARKETING | OPERATIONS | COMPLIANCE | RISK★ Small Business Marketing★ Compliance Program Leadership and Design★ Fund & Adviser Compliance Programs | Ethics Programs★ Governance, Risk and Compliance (GRC)★ Enterprise Risk Management (ERM) | Operational Risk Management★ Risk Assessment★ Compliance Monitoring, Controls & Testing★ Examination Leadership | Response | Remediation★ Ethics Monitoring★ Third-Party Vendor Oversight★ Policy & Procedure Development ★ Corrective Action PlansCONTACTI am glad to share my knowledge with others focused on SMS Marketing, Automated Solutions, Risk & Compliance. ►►►>>>robert.m.casey@gmail.com<<<◄◄◄
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Co-FounderCasey Light Management, Inc. 2017 - Present
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Chief Operating OfficerMobile High 5 - Mms Marketing And Sms Marketing 2017 - PresentMalvern, Pa, Us★ Consult with small and mid-sized business owners on marketing, operations and automation using SMS Texting to increase customer engagement and customer retention to drive revenue. ★ Development of new services for small to mid-size businesses including call-to-text platform to help business owners automate answering incoming calls using integrated text responses to reduce labor costs and staffing needs. ★ Development of APIs to integrate POS, CRM and e-commerce platforms with SMS for customer messaging, loyalty programs and building customized databases so businesses can own their own data, benefit from automation and grow.
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Managing Director ( Senior Compliance Officer )Ccs 2015 - 2015CCS is an industry leading compliance consulting firm providing a variety of compliance and regulatory services to investment advisers and firms, who combined have over $40B in assets under management.★ Lead delivery of regulatory and compliance services to client firms including hedge funds, broker/dealers, investment advisers, private funds, closed-end funds and other asset managers. ★ Support Chief Compliance Officers (CCOs) to develop, manage and enhance policies, procedures and controls. ★ Oversee SEC 206(4)-7 and 38a-1 programs, conduct annual reviews, provide compliance updates for board meetings, manage regulatory exams, evaluate third-party vendor practices, conduct due diligence reviews, provide compliance alerts and risk assessments to clients.
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Vice President, Director Of Compliance ( Senior Compliance Officer )Hartford Funds 2013 - 2014Wayne, Pa, Us★ Led compliance program oversight which included Investment Company, Investment Adviser, Transfer Agent, Administrator and Broker / Dealer. ★ Collaborated with team members to develop and manage comprehensive compliance testing program across products, which increased consistency in approach and improved testing experience across the team. ★ Conducted fraud and regulatory risk assessments. ★ Conducted assessments and created presentation for Fund Board regarding cybersecurity practices.★ Worked with CCO and Head of IT to establish cybersecurity response team and improvements to third-party vendor questionnaires, monitoring and awareness programs. ★ Evaluated RFPs and vendor services and provided recommendations to management regarding outsourcing arrangements to significantly reduce expenses. -
Assistant Vice President, Compliance ( Senior Compliance Officer )Hartford Funds 2012 - 2013Wayne, Pa, Us★ Drove changes to Hartford Funds 38a-1 and 206(4)-7 compliance programs and controls monitoring.★ Facilitated business risk committee meetings, identified critical risks and oversaw remediation of residual risks. ★ Managed SEC exam readiness process. Designed and implemented Vendor Oversight program with consistent reporting, reduced risk and improved exam readiness. ★ Created presentations for Funds’ Board and Corporate Board on top risks, working with Enterprise Risk Management (ERM). ★ Remediated operational and transition risks resulting from the sale and separation of various Wealth Management businesses.
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Director, Compliance Assurance And Project Management ( Compliance Officer )The Hartford 2006 - 2012Hartford, Ct, UsI was asked to join The Hartford's Securities Compliance Unit after the firm was sanctioned with multi-million dollar penalties by regulators for market timing and revenue sharing. I was brought in to revamp and enhance the compliance program, compliance culture and controls for Hartford Mutual Funds, Separate Accounts and 529 Plans. ★ Conducted testing and established controls for regulatory compliance across a wide range of SEC, FINRA and other regulations for mutual funds, separate accounts and other financial products at The Hartford. ★ Developed and enhanced controls for monitoring compliance. ★ Conducted risk assessments across various service providers. ★ Managed Mutual Fund 38a-1 Compliance Program and Compliance Oversight Program for 529 Plans. ★ Implemented and enhanced Governance, Risk and Compliance (GRC) applications within RSA / Archer framework.Member of National Investment Company Services Association (NICSA); Co-Chaired the NICSA Compliance and Risk Management Committee for two years. -
Senior Director, Risk Programs ( Risk Officer )Fidelity Investments 2004 - 2006Boston, Ma, UsI was asked to join the risk and compliance team to support a number of 38a-1 compliance and risk initiatives. I supported the CCO with annual compliance reviews, certifications, policy development, new programs, new systems implementations. BIG WINS: ★ Established testing plans, implemented CCO dashboard of KPI’s, and developed workflows for new systems to support 38a-1 policies. ★ Collaborated with the Legal team to complete the initial 38a-1 annual report for Destiny Contractual Plans.Implemented Key Risk Measures for Compliance Program. ★ Conducted cross-company analysis of operational processes for critical risks and controls to establish best practices and consistency. ★ Completed impact assessments and risk assessments. ★ Chaired Regulatory Steering Committee to review new regulations that may impact operations and planning / impact to the IT project portfolio. -
StudentUniversity Of Connecticut, Exec. Mba Program 2003 - 2005Storrs, Ct, UsUCONN EXECUTIVE MBA PROGRAMAfter acceptance into UConn’s Executive MBA program, I returned to school while working full-time at Fidelity. It was a challenging cohort program that included project work in Zurich, Switzerland. Typically teams of four students worked together, however my team only had three students. My team worked collaboratively and executed extremely well on projects under tight deadlines. BIG WINS: ★ Collaborated with team to develop a business plan for expansion of an on-line academic recruitment firm and the project was selected for presentation to the 2006 class, faculty and firm owners. ★ Team led a proposal for a Swiss SICAV real estate fund. -
Project Management Director, Regulatory Projects ( Program Manager )Fidelity Investments 2003 - 2003Boston, Ma, Us
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Director, Tax Reporting And ControlFidelity Investments 2002 - 2003Boston, Ma, Us
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Director, Tax Reporting And ComplianceFidelity Investments 2001 - 2002Boston, Ma, Us
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Senior Tax ManagerFidelity Investments 2000 - 2001Boston, Ma, Us
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Senior Tax AdvisorFidelity Investments 1997 - 2000Boston, Ma, Us
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Assistant Vice President & Officer, AdministrationWells Fargo Advantage Funds (Formerly Evergreen Investments / Keystone Investments) 1994 - 1997★ Directed staff of 7 business analysts for oversight of transfer agent operations. ★ Managed functions including IT systems provider, print/mail of statements, checks, proxy, shareholder reports, literature fulfillment and tax reporting. ★ Managed several key external vendors and oversaw change of print/mail vendor in just six weeks.★ Tested changes related to systems conversions. ★ Managed successful Proxy campaign following acquisition of Keystone Investments by First Union.Evergreen Investments merged with Wells Fargo Advantage Funds in 2005. Evergreen Investments, was a subsidiary of First Union. Keystone Investments was a privately held asset management firm based in Boston, MA.
Robert Casey Skills
Robert Casey Education Details
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University Of Connecticut School Of BusinessBusiness Administration -
University Of Massachusetts AmherstEconomics
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SpringhouseProject Management Training
Frequently Asked Questions about Robert Casey
What company does Robert Casey work for?
Robert Casey works for Mobile High 5 - Mms Marketing And Sms Marketing
What is Robert Casey's role at the current company?
Robert Casey's current role is COO | Compliance Officer | MBA.
What is Robert Casey's email address?
Robert Casey's email address is re****@****aol.com
What is Robert Casey's direct phone number?
Robert Casey's direct phone number is +130193*****
What schools did Robert Casey attend?
Robert Casey attended University Of Connecticut School Of Business, University Of Massachusetts Amherst, Springhouse.
What are some of Robert Casey's interests?
Robert Casey has interest in Exercise, Sweepstakes, Home Improvement, Reading, Home Decoration, Health, Electronics, Education, Fitness, Running.
What skills is Robert Casey known for?
Robert Casey has skills like Risk Management, Financial Services, Asset Management, Mutual Funds, Risk Assessment, Leadership, Management, Program Management, Vendor Management, Project Management, Anti Money Laundering, Analysis.
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