Robert Casey

About Robert Casey

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 &

Experience

1. Chief Operating Officer

   Mobile High 5

   Jan 2017 — Present · Malvern, 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.

Education

• University of Massachusetts Amherst

  B.A., Economics

• Springhouse

  Project Management Training

  2016 — 2016

• University of Connecticut School of Business

  MBA, Business Administration

Skills

• Program Management
• Vendor Management
• Transfer Agent Operations
• Aml
• Records Management
• Management
• Due Diligence
• Hedge Funds
• Regulatory Examinations
• Project Management
• Compliance Program Management
• Compliance Monitoring
• Operational Risk
• Business Analysis
• Policy Administration
• Business Process
• Process Improvement
• Analysis
• Mutual Funds
• Regulatory Compliance
• Risk Management
• Sec Regulations
• Data Analysis
• Anti Money Laundering
• Key Performance Indicators
• Finra
• Grc
• Risk Assessment
• 529 Plans
• Investment Company Act
• Financial Reporting
• Governance
• Operational Controls
• Systems Development Life Cycle
• Business Process Improvement
• Financial Risk
• Asset Management
• Investment Advisers Act
• Internal Controls
• Asset Managment