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 ...more

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. EXPERIENCE My 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 & TRAINING I 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 Plans CONTACT I am glad to share my knowledge with others focused on SMS Marketing, Automated Solutions, Risk & Compliance. ►►►>>>robert.m.casey@gmail.com<<<◄◄◄less