Patrick Casey

Background

About Patrick Casey

Driven and self-directed financial services professional with extensive and varied experience, including compliance & risk management, staff oversight & development, investment management, and marketing & advertising. Known as an innovative thinker and hands-on contributor with strong decision-making and analytical skills. Demonstrated success in leading internal audits; identifying, escalating & mitigating significant risks; developing diverse & high-performing teams; and achieving goals. Recognized for analyzing data to quickly assess and understand emerging compliance trends & industry regulations, and developing & executing plans in a fast-paced, complex, and ever-changing environment. Expertise includes risk assessment & monitoring, internal controls, creating & implementing testing procedures, developing & maintaining departmental policies & processes, and advising senior executives & business partners for a large national financial services company. Accomplishments: • Provide leadership & guidance to an 11-person team of compliance professionals, including hiring, training & development, and performance management. • Complete the annual FINRA compliance exam for 485+ physical branches, and OSJ exams for the firm's business channels. • Prepare 250+ reports that are distributed to senior management, detailing compliance findings from branch exams and risk mitigation efforts. • Ensure compliance with corporate & regulatory policies by assessing & refining supervisory controls. • Advised clients on investment & financial goals, and managed $25M+ in assets for 300+ client households. Expertise: Risk Assessment, Mitigation, Compliance, Internal Audit, Business Activity Monitoring, Suitability Analysis, Due Diligence, Policies, Procedures, Controls, Testing, Challenging Business Practices, Field Work, Testing & Validation, Optimize Business Processes, Data Analysis, Reporting, Regulatory Examinations, Collaborative, Team-Oriented, Subject-Matter Expertise, Advice, Staff Management, Development, Performance Tracking, Management, Cost Reduction, Efficiencies, Microsoft Office Proficiency, Investment Advisory, Asset Management, Financial Markets, Planning, Analysis This information is intended for use by residents of Illinois only. Please contact me by email (patrick.casey@wellsfargoadvisors.com) or phone (312-920-3516). I cannot respond to messages through LinkedIn. Opinions and comments expressed by LinkedIn members are those of the persons submitting them and do not necessarily represent the views of the creator of this profile or their firm.