Head of Client Service & Compliance
Certified Fraud Examiner and Compliance Professional. Multi-tasker and doer. Versatile and visionary leader. Dedicated to the continual improvement of the client experience.
As Chief Compliance Officer, Kasey is responsible for ensuring SEC compliance across the firm. In addition to his compliance duties, Kasey manages the client service team.
Kasey joined Strategic in 2008 as an Operations Specialist. He focused on servicing Strategic’s clients with report preparation, account trading, new account openings and various client requests. He assumed day-to-day responsibilities of coordinating the firm’s compliance program in 2009. In 2013, Kasey was promoted to the dual role of Chief Compliance Officer and Team Leader of Client Service. As a Team Leader, Kasey oversees the daily activities of the Client Service Team and ensures there is a proper support structure to uphold Strategic’s client service standards at all times. In addition, he conducts regular meetings with Advisors to keep them up-to-date on firm operations, investment news, and compliance items.
Prior to Strategic, Kasey worked as an Operations Specialist in First Niagara Bank’s benefits consulting division, where his primary focus was the compliance administration and valuation of retirement plans.
- Certified Securities Compliance Professional (CSCP)
- Certified Fraud Examiner (CFE)
- MBA, Fraud Management, Utica College
- BA, Managerial Economics, Union College
Areas of Specialty
Client Service & Advisor Support
Workflow, Processes and Technology
Beneath the Surface
Claim to Fame
He is best friends with the Mayor of Mohawk, NY
Being active, landscaping, being outdoors, an ice cold UC, PB&J sandwiches, spending time with family and friends, and being a dad
Kasey and his wife Brittany live in Central New York with their daughter
I prefer quality over flash - that's why I refuse to write my signature in cursive.Ron Swanson, Parks and Recreation