regions bank chief compliance officer

C. Keith Herron In addition, Raber created a centralized leveraged lending team providing specialized underwriting and portfolio management oversight. Danella earned a bachelors degree in Economics and English from Vanderbilt. A native of Wedowee, Alabama, Nix earned a Juris Doctor degree from the University of Alabama School of Law and a Bachelor of Science degree in Business Administration-Finance from Auburn University. Core Product Marketing. Regions, the Regions logo and the LifeGreen bike are registered trademarks of Regions Bank. When making the leap to a new position, almost half (46%) of executives across all functions underperform. Gartner Terms of Use RiskClarity is a program that allows you to identify hidden risks and gain visibility into potential problem areas before they arise. John B. Owen Paul, Seattle, and Portland. Regions Bank Chief Financial Officer. He also has served as commercial banking sales manager and business banking sales manager for North Central Alabama. Previously she held a number of positions including Wholesale Funding and Liquidity Manager and Head of Debt and Capital Management, both in the banks Treasury Division. Birmingham's largest bank has added a new leader to its ranks. Chief Risk Officer. Ward Cheatham is Corporate Banking Division Head for Regions, focusing on serving public and private companies with sales from $250MM - $2B. Prior to being named in this position, he was the executive vice president of Field HR where he led the 2008 talent integration during the merger of Regions and AmSouth Bank. He was also head of Commercial Middle Market and Treasury Management Sales. Congratulations on your new role. As Group Vice President and Director of eCommerce at SouthTrust Bank in Birmingham, Hernandez started the eCommerce group, building it from the ground up. During her tenure she has also been responsible for Credit Policy, Credit Administration, Risk Analytics, and Problem Asset Management. Head of Corporate Responsibility and Community Engagement. In his previous roles at Truist, he served as head of Digital and Contact Center Banking and head of Enterprise Technology Strategic Services. The privacy policies and security at the linked website may differ from Regions privacy and security policies and procedures. Keith Herron is Head of Corporate Responsibility and Community Engagement for Regions. Turner joined Regions in 2006 and led the Internal Audit Division for Regions before being named chief financial officer in 2010. Senior Executive Vice President These business lines include Branch Bankers and Retail Leadership; Mortgage Sales; Indirect Auto Lending; Consumer Indirect Lending Partnerships; Consumer Deposit and Loan Product Management; and Consumer Strategy. He leads the companys Executive Leadership Team. Godin earned a Masters in Business Administration from the University of Western Ontario and is also a graduate of the International School of Banking. Plimpton joined Regions in 2020, following an 18-year career at General Electric. His responsibilities included overseeing various audits of the overall corporation reporting to the Audit Committee of the Board of Directors. Chief Governance Officer and Assistant Corporate Secretary. His primary focus was financial institutions. All Rights Reserved. 2023Gartner, Inc. and/or its affiliates. Regions serves customers across the South, Midwest and Texas, and through its subsidiary, Regions Bank, operates approximately 1,400 banking offices and 2,000 ATMs. was Mid-America region president, overseeing banking operations in Middle and West Tennessee, Texas, North Louisiana, Arkansas, Missouri, Indiana, Kentucky, Illinois and Iowa. M. Deron Smithy Plimpton was a board member of United Way, Atlanta (2012-2018), CAREs Womens Advisory Network (2017-2020), and Georgetowns Corporate Counsel Advisory Board (2018-2022). Lead Compliance Officer job in Tempe at Wells Fargo Bank compliance officers evaluate policies/procedures and ensure they . Responsibilities include providing perspective on existing and emerging risks, advancing portfolio-shaping strategies, developing and overseeing credit policies, maintaining an active concentration limit framework and supporting a strong capital and liquidity platform. He has held many leadership roles, including corporate division manager, city president, area president for Mississippi/North Louisiana and regional president of the Southwest region and led the integration process for the Mississippi/Louisiana markets during the Regions AmSouth merger. Investments, Annuities, and Insurance Products, 2021 Supplemental Proxy Materials (March 31, 2021). Cheatham graduated from Auburn University with a bachelors degree in accounting. In this capacity, he was a key member of the leadership team which led the bank through the 2008 financial crisis, subsequently creating an industry-leading organizational culture as recognized by Gallups Exceptional Workplace Award six years in a row. and He also is a 2013 graduate of Leadership Birmingham and a 2016 graduate of Leadership Alabama. During his tenure with Wachovia, Smithy served as a senior analyst in the Asset and Liability Management division and was promoted to senior vice president and global head of the division. Leading compliance programs use the investigations process to foster a sense of organizational justice and combat a fear of retaliation. Privacy Policy. He also served as the Director of Channel Development for BBVA Compass in the United States with leadership responsibilities for digital, contact center and ATM channels in the Retail Bank. Regions does not monitor the linked website and has no responsibility whatsoever for or control over the content, services or products provided on the linked website. Absorb data and analytics to evaluate the ongoing ROI of a program, while also identifying opportunities for program improvements and risk mitigation. Lusco graduated from the University of Mississippi with a bachelors degree in business administration and is a CPA in Alabama and Mississippi. Fournier J. Martha Raber leads Financial Risk activities for Regions with responsibility for enterprise-wide financial risk oversight for Consumer, Wealth, and Wholesale lines of business as well as proactive governance of Credit, Market, Liquidity, Capital and Strategic Risks. He serves on the boards of directors for the Birmingham Business Alliance, Innovation Depot, and the United Way of Central Alabama, and the advisory board for the UAB Collat School of Business. Andrew Nix will join Regions as chief governance officer on March 17. All Rights Reserved. She is a member of the Board of Directors of the Council of Institutional Investors (CII) and serves on its Policies Committee. In his role as general counsel, he provides leadership for the companys legal affairs and ethics program. Chief Financial Officer. Danella earned a bachelors degree in Economics and English from Vanderbilt. Before joining AmSouth, Keenan served as director of Human Resources at Frito-Lay, a division of PepsiCo, where he worked for 10 years. At its core, its about having a strong framework that guides business decisions and, in turn, benefits not only the customers of a company but also the people and businesses who make up the communities where a company does business. Nix will join Regions in March from Birmingham-based Maynard Cooper & Gale PC. Regions' new chief transformation officer has expansive mandate Nolan earned a bachelors degree in business from the University of Alabama at Birmingham, and is a graduate of the Bank Administrative Institutes Graduate School of Bank Financial Management at Vanderbilt University in Nashville, Tennessee. He is a graduate of Leadership Alabama and a former board member of Leadership Mobile. Jim Pihera - Chief Compliance Risk Officer at Regions Bank - Wiza Corporate Banking Division Head. In this role, he leads Liquidity and Capital Planning, Investment Management, Asset & Liability Management, Enterprise Model Development and the CCAR process. Chief compliance officers (CCOs) are responsible for designing, implementing and monitoring the processes by which the company will comply with all applicable laws and regulations. Nix to oversee corporate governance framework supporting Regions services for customers and communities. and Head of Consumer Banking Group. Regions Financial in Birmingham, Ala., will split up its chief operating officer's responsibilities rather than appoint a new COO when John Owen retires next year. Regions is a regional bank that operates throughout the South, Midwest and Texas and is headquartered in Birmingham, Ala. Corporate governance speaks to the heart of who we are as financial professionals committed to making a positive difference for the people, businesses and communities we serve, Plimpton said. The foundation primarily supports three strategic priorities: Economic and Community Development; Education/ Workforce Readiness; and Financial Wellness. Head of the Wealth Management Group. Bank Compliance Officer Job Description Example Regions Financial Corporation (NYSE:RF), with $147 billion in assets, is a member of the S&P 500 Index and is one of the nations largest full-service providers of consumer and commercial banking, wealth management, and mortgage products and services. Prior to being named Chief Administrative and Human Resources Officer in 2020, Keenan served as Chief Human Resources Officer for the company for 10 years. Dana Nolan serves as the Head of Investor Relations at Regions. Western Union and Regions Bank Renew Agreement for Global Money Transfer and Payment Services, Regions Bank Earns Top Marks for Customer Satisfaction in Florida from J.D. 78 Code Compliance Officer Jobs in Tempe, AZ - Ziprecruiter.com Flagstar Bank - Scottsdale Arizona branch servicing the valley & the countrySenior Loan Officersince Oct 2011 Credit Justice Services - 1204 E. Baseline Rd. Executive Vice President In addition, Nix will consistently monitor and evolve Regions corporate governance framework while serving as a liaison to external stakeholders, including institutional stockholders, regarding corporate governance matters. Youre about to leave Regions to use an external site. Based on 20019 salaries posted anonymously by Santander Chief Compliance Officer employees in Braunton. Design a human-centric compliance culture. General Counsel and Corporate Secretary. Senior Executive Vice President At Bank of America, also in Charlotte, he was a Senior Vice President in the eCommerce group with responsibility for the industrys largest online payments and transfers business as well as the industrys largest online deposits business. Gale holds both a bachelors degree and law degree from the University of Alabama, where he served as editor in chief of the Alabama Law Review and he is a former president of the University of Alabama Law School Foundation. Measure your employees perceptions of culture, observations of misconduct and reporting rates to identify where misconduct occurs. Regions is a regional bank that operates throughout the South, Midwest and Texas and is headquartered in Birmingham, Ala. She also serves as vice president and program chair for the Southeastern Chapter of the Society for Corporate Governance. Treasurer. There, he has served as a shareholder with practice areas in banking and financial services; corporate governance and compliance; public company advisory services; securities regulation and corporate finance; and more. In addition to serving on Maynards Diversity & Inclusion Committee and serving as co-chair of the firms Pro Bono Committee, he was president of the Birmingham Bar Association in 2020 and is a graduate of the Leadership Birmingham Class of 2020. Roles included: client management, risk and leadership of client teams including multi-family, retail, office & industrial and REIT groups. Regions Bank is an Equal Housing Lender and Member FDIC. He is currently the President of the Congregation of Independent Presbyterian Church and a member of the Rotary Club of Birmingham. Prior to joining Regions, Pichel served as the Head of Retail Delivery for Citizens Bank in Flint, Michigan, where he was responsible for the entire branch network and was a member of the Executive Leadership Team. Anthony Restel President, Regional Banking . Massey is responsible for all aspects of Regions Enterprise Operations, Technology and Data and Analytics. Regions Bank Names Abbas Merchant as Chief Marketing Officer as Michele Chief Data and Analytics Officer. Use our resources to assess the current state of the function, map out next steps and implement your plans confidently. Securities and insurance products are offered through Cetera Investment Services LLC, member FINRA/SIPC. Senior Executive Vice President Owen holds a bachelors degree in Aviation Management from Auburn University School of Engineering. Ritter earned a bachelors degree in economics from Vanderbilt University and is a graduate of the Stonier School of Banking at Georgetown. Regions serves customers across the South, Midwest and Texas, and through its subsidiary, Regions Bank, operates approximately 1,400 banking offices and 2,000 ATMs. Corporate governance is my passion. Additionally, he served as a member of RMAs Regulatory Relations Committee. Senior Executive Vice President He then served as head of Enterprise Services and Consumer Banking before being named Chief Operating Officer in 2018. He is a graduate of Leadership Alabama and a former board member of Leadership Mobile. Before joining Regions, Danella served for 13 years as vice president for Capital Group Companies, a global wealth management organization managing more than $1.7 trillion in assets, in various leadership roles in sales, strategy, client services and marketing. (Photo: Business Wire). Embed controls to reduce risk in a hybrid work environment. Plimpton also served as General Counsel to several GE divisions, including Transportation and Energy. Tammy Ridley, SVP, CAMS - Chief Compliance Officer - Regions - LinkedIn Tara A. Plimpton serves as Chief Legal Officer and Corporate Secretary for Regions Financial Corporation and is a member of the companys Executive Leadership Team. As someone who has lived in Birmingham for nearly 20 years, I recognize the significant impact that Regions has not only locally, but also in every market served by the bank, Nix said. Before joining Regions, Turner was named president of Whitney National Bank and Whitney Holding Corporation in 2008 and was elected to the bank and holding company boards of directors. Scott Peters serves as Chief Transformation Officer and is a member of the companys Executive Leadership Team. Senior Executive Vice President Manav Misra Before joining KPMG, Lusco was with Arthur Andersens Birmingham, Alabama, office and was managing partner. Andrew Nix. CCOs need to create, update and manage compliance and ethics policies to ensure successful implementation and policy adoption throughout the organization. He is a former member of the board of directors for the Public Affairs Research Council of Alabama, McWane Science Center, the Alabama Symphony and Innovation Depot. Evaluate current compliance program activities and gauge their effectiveness and impact. Keenan earned a bachelors degree in Political Science from Furman University. Chief Risk Officer. Executive Vice President This press release features multimedia. Executive Vice President David Popwell President, Specialty Banking . Turner is a former chairman of the Mobile Area Chamber of Commerce, the Mobile Area Education Foundation and the United Way of Southwest Alabama. Turner joined Whitney in 1994 as its Alabama regional president after nine years at AmSouth Bank, where he held senior consumer, commercial and business positions. Regions has a demonstrated commitment to creating more inclusive prosperity, and I am excited to bring my skills and experience in support of the banks important work.. Ronald G. Smith Pichel previously led the Home Equity Committee for the Consumer Bankers Association. Fournier J. Gale, III She leads the companys Legal, Government Affairs, and Corporate Governance departments. She also serves as vice president and program chair. Andrew Nix will join Regions as chief governance officer on March 17. Management | Regions Financial Corporation President, Regions Foundation. Power, 3 Keys to Successful Machine Learning Operations, Regions Financial Scheduled to Participate in 2023 RBC Capital Markets Global Financial Institutions Conference, Regions Bank Announces John OMera as Market Executive for Panama City. Nix will report to Tara Plimpton, chief legal officer for the bank. Regions Investment Solutions is a marketing name of Cetera Investment Services. Pichel earned a bachelors degree in both finance and education from Ohio Northern University, and a MBA from the University of Michigan. Turner leads all finance operations, including financial systems, investor relations, corporate treasury, corporate tax, management planning and reporting and accounting. His primary focus was financial institutions. Prior to joining Regions, he worked in National Accounts for SunTrust Bank overseeing the McDonalds franchise lending program as well as Fortune 1000 companies headquartered in Chicago, Minneapolis/St. In addition, Nolan oversees competitive and strategic analysis. Deputy Chief Risk Officer and Chief Credit Officer. Regions Bank Apr 2020 - Present2 years 11 months Birmingham, Alabama, United States Chief Legal Officer and Corporate Secretary for Regions Financial Corporation (NYSE:RF) and is a member. Nolan joined Regions in 1989. He began his career in information systems with McDonnell-Douglas. The Wealth Management group includes Private Wealth Management, Investment Services, Institutional Services and Asset Management. Regions Bank is an Equal Housing Lender and Member FDIC. Prior to joining Regions, Danella served for 13 years as vice president for Capital Group Companies, a global wealth management organization managing more than $1.4 trillion in assets. Dave Keenan is Chief Administrative and Human Resources Officer and is a member of the Executive Leadership Team. Prior to joining Regions, she was at KeyBank and served as executive vice president and chief consumer risk officer with responsibility for policy, risk scoring and analytics as well as collections. He serves on the Economic Development Partnership of Alabama, United Way of Central Alabama, Business Council of Alabama, Birmingham Business Alliance, A Plus Education Foundation and Infirmary Health System boards. Executive Vice President He is a graduate of Leadership Alabama, a former member of the Financial Services Roundtable and a former board member for the Consumer Bankers Association. Chief Digital Officer. John M. Turner, Jr. Ronnie Smith is head of Corporate Banking at Regions, which includes Commercial Banking, Large Corporate Banking, Capital Markets, Real Estate Banking, Regions Business Capital, Credit Products group, and Corporate Banking Group Administration. He leads the companys executive leadership team. She is also a member of the Rotary Club of Greater Birmingham. Management Bios | Regions Financial Corporation In this role he co-led the strategic definition and global vision of omnichannel experience for the BBVA Group. Through our policies, procedures and practices, Regions is focused on helping customers and communities succeed, and I know the work of Andrew and his team will make a meaningful impact as we fulfill our mission.. Andrs "Andy" Hernndez First Horizon Bank. Senior Executive Vice President Critical Capabilities: Analyze Products & Services, Digital IQ: Power of My Brand Positioning, Magic Quadrant: Market Analysis of Competitive Players, Product Decisions: Power Your Product Strategy, Cost Optimization: Drive Growth and Efficiency, Strategic Planning: Turn Strategy into Action, Connect with Peers on Your Mission-Critical Priorities, Peer Insights: Guide Decisions with Peer-Driven Insights, COVID-19 Resources for Legal & Compliance, Legal and Compliance Risk Management Framework. Use this one-page template to communicate your strategy with internal business partners. Prior to the BB&T/SunTrust merger, Massey was Chief Technology Officer at SunTrust over technology strategy, architecture and enterprise API services, technology transformation, and more. She reports to the Chief Risk Officer, and is responsible for the overall direction of the banks risk management with a particular focus on credit risk. Turner holds a bachelors degree in economics from the University of Georgia and is currently an advisory trustee for the University of Georgia Foundation. Prior to joining Regions in 2004, Peters served as executive vice president of Fidelity Personal Investments, with segment management responsibility for 2.6 million households, $1.05 billion in revenues, and $230 billion in assets under management. May 27, 2022, 1:30 p.m. EDT 3 Min Read. Chief Human Resources Officer. Andrews experience and insights will help us build on these accomplishments. Prior to assuming his current role in 2011, Ritter served as president for the Central Region, overseeing banking operations in Alabama, Georgia and South Carolina. Head of Enterprise Operations. Nixs previous legal experience also includes work for Bradley Arant Boult Cummings LLP and Lightfoot Franklin & White LLC. Bill Ritter serves as Head of the Wealth Management group at Regions. He later went on to receive his Master of Arts degree in Human Resource Development from Boston University. Gale is a former president of both the Alabama State Bar and the Birmingham Bar Association. Prior to joining Regions, Owen was chief executive officer of Assurant Specialty Property, a Fortune 500 company based in Atlanta. Matt Lusco is Chief Risk Officer and oversees Regions risk management functions at Regions, including enterprise risk, compliance risk, operational risk, credit risk, market risk, and regulatory affairs. Danella joined Regions in 2015 as the Wealth Strategy and Effectiveness Executive, responsible for overseeing the development and implementation of business strategies across the Regions Wealth Management Group. Regions Investment Solutions, 250 Riverchase Parkway East, Hoover, AL 35244. At a time when the compliance officers are challenged to effectively manage the risks of modern business, new chief compliance officers need to find their feet fast and lead boldly. 4 Models for the Chief Compliance Officer Role. At Wachovia, Hernandez was Chief Operating Officer for the General Banks Distribution Group in Charlotte. She also served in various positions with Scotiabank, including senior vice president of retail lending, vice president of credit risk management, and director of underwriting and collections. He serves on the boards of Tennessee Bankers Association, Regions Foundation of Tennessee, the Vanderbilt/Owen School Board of Visitors, Nashville Convention and Visitors Bureau, the Woodward-Hines Foundation, and Mississippi Valley Title and Mississippi College Board of Trustees. Chief Administrative and Human Resources Officer. Prior to joining Regions in 2018, Misra was the Chief Data Science Officer for CenturyLink, leading a geographically distributed team focused on solving big data problems for customers using machine learning/AI & statistical techniques. A Guide for New-to-role Chief Compliance Officers (CCO) - Gartner Raber earned an MBA in Finance from Kent State University and a bachelors degree in International Studies/Economics from the University of North Carolina. Boots Gale, III is general counsel and corporate secretary for Regions. Regions, the Regions logo and the LifeGreen bike are registered trademarks of Regions Bank. He also has served as commercial banking sales manager and business banking sales manager for North Central Alabama. Turner earned a bachelors degree in Accounting from the University of Alabama in Tuscaloosa and attended Tulane University in Louisiana. Smith began his banking career at Deposit Guaranty as a management trainee. Regions Bank is an Equal Housing Lender and Member FDIC. Peters holds a bachelors of science degree in Marketing from the University of Connecticut, Storrs, Connecticut. Abrahams currently serves on the Operation HOPE Southeastern Board, as well as the boards of the Woodlawn Foundation, the Eyesight Foundation of Alabama and The World Games 2021. Keenan joined Regions predecessor Amsouth Bank in 2003 as leader of the companys Field Human Resources Group. In this new environment, CCOs must be prepared to ex to four distinct models: strategic business advisor, culture and ethics steward, tech and analytics champion, and an aligned assurance forger. Hope Mehlman joined Regions in 2006 and serves as the chief governance officer, assistant corporate secretary, and assistant general counsel. Deliver an effective board presentation on your companys culture, primary drivers of a strong culture of integrity, and next steps for risk mitigation and management. David J. Turner, Jr. Couch earned a bachelors degree in Corporate Finance from the University of Alabama. Prior to that, Danella led Private Wealth Management. for the Southeastern Chapter of the Society for Corporate Governance. Properly following procedure, he consults the compliance officer, who performs a check-the-box review and signs off but raises a "fairness" concern because the product is controversial with regulators and consumer groups. Neither Cetera Investment Services, nor Cetera Investment Advisers is an affiliate of Regions Bank. Executive Vice President He later moved into human resources roles in the areas of recruitment, associate relations, and organizational development. Mehlman received her bachelors degree from Cornell University. She is a member of the Board of Directors of the Council of Institutional Investors (CII) and serves on its Policies Committee. Logan Pichel serves as the Head of Enterprise Operations, which includes Deposit Operations, Payment Operations, Fraud and Cash Operations, Card and ATM Operations, Loan Operations, Loan Servicing, Collections and the Contact Center. Effective July 2, 2018, Turner became the chief executive officer and was appointed to Regions board of directors. BIRMINGHAM, Ala.--(BUSINESS WIRE)--Regions Bank on Tuesday announced Andrew Nix will join the company as chief governance officer, serving in a leadership role advising the Regions Financial Corporation Board of Directors and executive management on a wide range of corporate governance best practices. In addition to serving on Maynards Diversity & Inclusion Committee and serving as co-chair of the firms Pro Bono Committee, he was president of the Birmingham Bar Association in 2020 and is a graduate of the Leadership Birmingham Class of 2020. Turner previously served on Public Affairs Research Council of Alabama and is a former chairman of the Mobile Area Chamber of Commerce, the Mobile Area Education Foundation and the United Way of Southwest Alabama. Prior to joining Regions, Ms. Mehlman was a partner in the Corporate/Securities and Banking/Financial Services practices at the law firm of Adams and Reese, LLP. Reserve Bank of India - Notifications Previously she served as Regions senior compliance manager responsible for consumer compliance, BSA/AML, wealth management compliance, and enterprise monitoring and testing. Horton joined Regions Management Training Program in 1973 and has served in various roles throughout the bank's branch system. Dana W. Nolan She also holds a masters of philosophy in European Studies from the University of Cambridge, and a masters in business administration from Harvard Business School. Throughout his career at Regions, which he started in 1993, Ritter has served in several management positions, including North Central Alabama area executive and commercial banking executive with management responsibility for commercial middle market, corporate banking and public, institutional and not for profit activity. He succeeds Hope Mehlman . He serves on the boards of Tennessee Bankers Association, Regions Foundation of Tennessee, the Vanderbilt/Owen School Board of Visitors, Nashville Convention and Visitors Bureau, the Woodward-Hines Foundation, and Mississippi Valley Title.

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