regions bank chief compliance officer

Head of Corporate Banking Group. Regions is a regional bank that operates throughout the South, Midwest and Texas and is headquartered in Birmingham, Ala. Before joining Regions in 2022, Massey spent almost 30 years at Truist Bank and its predecessor companies, including SunTrust Bank, primarily in roles focused on technology, operations, and transformation. Executive Vice President She joined Regions in 2003 to lead Consumer Credit Risk. Executive Vice President Additional information about Regions and its full line of products and services can be found at www.regions.com. Gale reports directly to CEO John Turner and is a member of the companys Executive Leadership Team. This 32-page document allows for easier reading and reference. Raber currently is a Board member for the International Association of Credit Portfolio Managers (IACPM). He is also a member of the United Ways Tocqueville Society. Monitor third and fourth-party compliance activities, keeping in mind the realities of the organizations newly extended enterprise. 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. Regions Investment Solutions, 250 Riverchase Parkway East, Hoover, AL 35244. 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 is a fellow of the American Bar Foundation and has served on the Board of Directors of the American Judicature Society. He joined Fidelity in 1998 from KeyCorp, where he served as director of Mass Market Retail Banking and was responsible for the banks 2,500 branch-based retail sales people. Turner holds a bachelors degree in economics from the University of Georgia and is currently an advisory trustee for the University of Georgia Foundation. Smith earned a bachelors degree in Economics and Accounting from Mississippi College, and graduated from the Louisiana State University Graduate School of Banking, as well as the KPMG Commercial Banking Institute. 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. Gartners research provides crucial insights on the compliance function as well as best-practice templates and tools to help you make a fast start in your new role as chief compliance officer. Head - Financial Risk. Anthony Restel President, Regional Banking . Senior Executive Vice President He began his career in the Jackson, Mississippi office of Arthur Andersen in 1979. Matt also has served on the board of directors of the Risk Management Association where he oversaw Association business during the groups search for a new CFO. 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. Chief Transformation Officer. 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. Effective July 2, 2018, Turner became the chief executive officer and was appointed to Regions board of directors. 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. Executive Vice President Mehlman is a member of the Alabama, District of Columbia, New Jersey, and New York state bars, as well as various civic, charitable, and professional organizations and councils. Peters holds a bachelors of science degree in Marketing from the University of Connecticut, Storrs, Connecticut. David J. Turner, Jr. Prior to joining Regions in 2013, Martha served as Senior Portfolio Manager and Credit Risk Executive at KeyBank. Kate Danella is head of Regions Consumer Banking Group, which is comprised of the Retail Bank, Mortgage, and Indirect Lending and Partnerships. Head of Consumer Banking Group. He was also head of Commercial Middle Market and Treasury Management Sales. 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. 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. 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. Nixs previous legal experience also includes work for Bradley Arant Boult Cummings LLP and Lightfoot Franklin & White LLC. Lusco joined Regions in 2011, bringing over 30 years of financial services industry experience gained by providing audit and consulting to a wide range of institutions. Before his current role, Herron was South Region President, overseeing banking operations in Alabama, Mississippi, South Louisiana and the Florida panhandle. BIRMINGHAM, Ala. Feb. 9, 2021 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. His past service includes the board of A. G. Gaston Boys and Girls Club, Birmingham Business Alliance and the Birmingham Kiwanis Club, as well as past co-chair of the Central Alabama United Way Campaign and Board Chair of REV Birmingham. In recent years, Regions has been recognized for our focus on doing right by all of our stakeholders. Chief Operating Officer. Chief Compliance Risk Officer at Regions Bank Jim Pihera is based out of Birmingham, Alabama, United States and works at Regions Bank as Chief Compliance Risk Officer. 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). 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. Head of Investor Relations. He joined Assurant as senior vice president of Information Technology. 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. Senior Executive Vice President Prior to joining Regions, Owen was chief executive officer of Assurant Specialty Property, a Fortune 500 company based in Atlanta. 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. Chief Legal Officer and Corporate Secretary. He also previously led Strategy and Mergers & Acquisitions for Regions and served as Mid-South Region President, overseeing Tennessee, North Carolina, Virginia, Kentucky, Missouri, Iowa, Illinois and Indiana. New compliance officers face an overwhelming amount of tasks during their first few months. Owen joined Regions in 2007 as head of Operations and Technology, where he served until 2009 when he was named head of the banks Consumer Services Group. She is a member of the National Investor Relations Institute (NIRI) and a graduate of the Momentum Leadership Program. Regions Bank is welcoming a new chief governance officer whose passion is helping companies make a valuable difference. He is also a member of the companys Executive Leadership Team. Mehlman received her bachelors degree from Cornell University. Plimpton joined Regions in 2020, following an 18-year career at General Electric. In this role, his primary focus was in providing audit and business advisory services to publicly and privately held companies, particularly commercial banks in the southeastern United States. 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. He leads the companys Executive Leadership Team. Evaluate current compliance program activities and gauge their effectiveness and impact. 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. Head of Consumer Banking Group. Scott Peters serves as Chief Transformation Officer and is a member of the companys Executive Leadership Team. 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. In his role as general counsel, he provides leadership for the companys legal affairs and ethics program. Turner is a former chairman of the Mobile Area Chamber of Commerce, the Mobile Area Education Foundation and the United Way of Southwest Alabama. Regions Investment Solutions is a marketing name of Cetera Investment Services. Head of Corporate Banking Group. Nix will join Regions in March from Birmingham-based Maynard Cooper & Gale PC. Yours faithfully, (Ajay Kumar Choudhary) Chief General Manager. In addition to overseeing all relationship management activities across the organization, he is responsible for equipment finance and specialized industry verticals including energy and natural resources, financial services, healthcare, restaurant, technology and defense, and transportation and logistics. 2023Gartner, Inc. and/or its affiliates. Head of Wealth Management Group. 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. Beth Ardoin Chief Communications Officer . Senior Executive Vice President Andrews experience and insights will help us build on these accomplishments. Head of Corporate Real Estate and Procurement. Dana W. Nolan In addition, Raber created a centralized leveraged lending team providing specialized underwriting and portfolio management oversight. In recent years, Regions has been recognized for our focus on doing right by all of our stakeholders. Andy Hernandez is Chief Digital Officer for Regions. May 27, 2022, 1:30 p.m. EDT 3 Min Read. Youre about to leave Regions to use an external site. He began his career in the Jackson, Mississippi office of Arthur Andersen. Pichel earned a bachelors degree in both finance and education from Ohio Northern University, and a MBA from the University of Michigan. Securities and insurance products are offered through Cetera Investment Services LLC, member FINRA/SIPC. 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. He also served as the Florida president. He later moved into human resources roles in the areas of recruitment, associate relations, and organizational development. He is a member of the banks Executive Leadership Team. He then served as head of Enterprise Services and Consumer Banking before being named Chief Operating Officer in 2018. He joined Regions in 2011 as president of the South Region, leading banking operations in Alabama, Mississippi, South Louisiana and the Florida Panhandle. Matt's community and civic involvements have been varied and have included board and/or leadership positions with Operation New Birmingham, The Civic Club Foundation, The Birmingham International Festival, The American Heart Association and the Ole Miss Alumni Association. He began his banking career with Citibank, where he opened and managed a de novo branch, ultimately serving as director of U.S. Design a human-centric compliance culture. Back to top The chief compliance officer This article takes a look at the role of the chief compliance officer (CCO). 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. 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. 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. Are Not Insured by Any Federal Government Agency, Are Not a Condition of Any Banking Activity. He is a graduate of Leadership Alabama and a former board member of Leadership Mobile. He leads the companys executive leadership team. In this role he co-led the strategic definition and global vision of omnichannel experience for the BBVA Group. Use the insights, advice and other tools included in this 12-step guide to make an impact in your new role.. Measure performance against peers, strategic priorities and future needs, and position yourself to drive business goals with Gartner's benchmarks and diagnostics. Gartner Terms of Use for the Southeastern Chapter of the Society for Corporate Governance. Before joining AmSouth, Keenan served as director of Human Resources at Frito-Lay, a division of PepsiCo, where he worked for 10 years. Nixs previous legal experience also includes work for Bradley Arant Boult Cummings LLP and Lightfoot Franklin & White LLC. Effective July 2, 2018, Turner became the chief executive officer and was appointed to Regions board of directors. Fournier J. About Regions Financial Corporation Senior Executive Vice President Nix will report to Tara Plimpton, chief legal officer for the bank. Manav Misra Additional information about Regions and its full line of products and services can be found at www.regions.com. Nix will report to Tara Plimpton, chief legal officer for the bank. C. Ward Cheatham 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. ET Danella earned a bachelors degree in Economics and English from Vanderbilt. He also has served as commercial banking sales manager and business banking sales manager for North Central Alabama. He is a member of the companys Executive Leadership Team. Use our guide to analyze where current efforts diverge from stakeholders' expectations and develop actionable risk guidance. Ronnie Smith is head of Corporate Banking at Regions, which includes Commercial Banking, Large Corporate Banking, Capital Markets, Real Estate Banking, Regions Business Capital, the Debt Products Organization, and Corporate Banking Group Administration. Clients receive 24/7 access to proven management and technology research, expert advice, benchmarks, diagnostics and more. Chief Compliance Officer (SAFS) Sterne Agee Aug 2004 - May 20061 year 10 months Birmingham, Alabama Area Compliance Officer SouthTrust Securities Nov 2001 - Aug 20042 years 10 months. Treasurer. 4 Models for the Chief Compliance Officer Role. Discover the four best practice approaches in investigation management. In this capacity he is responsible for leading the banks digital transformation, which includes digitizing the business to better serve Regions customers, providing leadership over the companys digital strategy, and driving accelerated delivery. Senior Executive Vice President While stationed in Karlsruhe, Germany, Keenan was deployed during Operation Desert Storm where he was recognized with multiple leadership awards for his service. Based on 20019 salaries posted anonymously by Santander Chief Compliance Officer employees in Braunton. In that role, he was responsible for all aspects of consumer credit and deposit product marketing and product development for Citibanks U.S. retail bank. Keenan has more than 25 years of human resources experience and has been in his current role since 2010. In that role, he was responsible for all aspects of consumer credit and deposit product marketing and product development for Citibanks U.S. retail bank. Previously she served as Regions' senior compliance manager responsible for consumer compliance, BSA/AML, wealth management compliance, and enterprise monitoring and testing. Gale is a former president of both the Alabama State Bar and the Birmingham Bar Association. Regions is a regional bank that operates throughout the South, Midwest and Texas and is headquartered in Birmingham, Ala. Danella most recently served as Chief Strategy and Client Experience Officer. and 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. 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. He is a alumnus of the Graduate School of Banking at Louisiana State University. Hope D.Mehlman Horton organized and headed the banks Business Loan, Consumer Loan and Direct Loan Centers along with the Home Equity Lending group. Their job description entails monitoring and analyzing risk areas in a bank's operation to ensure observance of state or federal laws. Regions provides links to other websites merely and strictly for your convenience. His career also includes extensive experience in Mortgage operations, digital and technology transformation, and consumer lending. Nolan joined Regions in 1989. Before joining SunTrust, Abrahams was a consumer banking manager in eastern Tennessee for Regions. Prior to that, Danella led Private Wealth Management. 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. His primary focus was financial institutions. Chief Administrative and Human Resources Officer. Regions News Online: regions.doingmoretoday.com Brett D. Couch 2023 Regions Bank. Head of Corporate Responsibility and Community Engagement. Nix commits much of his time to community engagement and professional organizations. Nolan serves on the board of Regions Foundation and is chair of the finance and audit committee. Plimpton received a bachelors degree in International Relations from the University of Nevada and holds a Juris Doctor from Georgetown University. Keith Herron is Head of Corporate Responsibility and Community Engagement for Regions. Kate Danella serves as Head of Strategic Planning and Corporate Development at Regions and is a member of the Executive Leadership Team. Gartner Terms of Use 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. He earned a bachelors degree with Honors from the University of Florida in Computer & Information Sciences. 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. From 1986 to 1988, Lusco worked in the Office of the Comptroller of the Currencys Office of the Chief Accountant in Washington, D.C. where he worked with OCC representatives and counterparts at the FDIC and Federal Reserve in policy development and in interpreting accounting and regulatory issues. Lusco joined Regions in 2011, bringing over 30 years of audit, accounting and risk management expertise in a wide range of institutions. By clicking the "" button, you are agreeing to the Tammy LoCascio Chief Operating Officer . Chief transformation officers are an emerging role at banks, and Regions Financial is one financial institution that is thinking through the meaning of that position. She leads all institutional, retail and fixed income investor relations functions. Prior to Frito-Lay, Keenan served in the U.S. Army as a Captain for four years. To ensure the most secure and best overall experience on our website we recommend the latest versions of, Internet Explorer is no longer supported. jsbacContactjsbacContact He is a member of the banks Executive Leadership Team. Turner has served on the Board of Directors and the Executive Committee for Junior Achievement of Alabama, Inc., United Way of Central Alabama, Inc., and is a member of the Presidents Cabinet of the University of Alabama, the Financial Services Roundtable, the Alabama Society of CPAs and the American Institute of CPAs. 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. She earned her Juris Doctorate from Seton Hall University School of Law and her Master of Laws in Taxation from New York University School of Law. This circular supplements the guidelines issued by Reserve Bank of India on April 20, 2007 and March 04, 2015 and for any common areas of guidance, the prescription of this circular shall be followed. Building a detailed plan. Jeremy D. King By Jeremy King | February 9, 2021. Use our guide to analyze where current efforts diverge from stakeholders' expectations and develop . David Popwell President, Specialty Banking . He began his banking career in 1987 with Citibank, where he opened and managed a de novo branch, ultimately serving as director of U.S. In addition, Nolan oversees competitive and strategic analysis. Privacy Policy. Looking at the corporate landscape of the future, CCOs will need to have even greater management skills equipped to deal with changing global markets and the shifting legal requirements for organizations to fulfill their required compliance vital for business growth and corporate strategy. 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. Plimpton was recognized earlier this year by the Birmingham Business Journal as a 2022 Leader in Diversity. Martha Raber Turner joined Regions in 2006 and led the Internal Audit Division for Regions before being named chief financial officer in 2010. Nix to oversee corporate governance framework supporting Regions services for customers and communities. 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. In this role, his primary focus was in providing audit and business advisory services to publicly and privately held companies, particularly commercial banks in the southeastern United States. She manages the companys corporate governance framework and is responsible for engagement with institutional investors and proxy advisory firms on corporate governance policies and practices, including ESG. Executive Vice President Leading compliance programs use the investigations process to foster a sense of organizational justice and combat a fear of retaliation. Regions provides links to other websites merely and strictly for your convenience. 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. The site that you are entering is operated or controlled by a third party that is unaffiliated with Regions. He served as head of Mortgage Banking, Business Banking and the Community Banking segment of Regions Business Services Group prior to his role as the North Central Alabama Area President. Andrew Nix will join Regions as chief governance officer on March 17. 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. Senior Executive Vice President Hernandez was named a Digital Banker of the Year Finalist by American Banker in 2017. CCOs need to create, update and manage compliance and ethics policies to ensure successful implementation and policy adoption throughout the organization. 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. The 2022 Gartner Leadership Vision for CCOs research outlinesthree key issues that will affect CCOs and their teams in 2022and actions they should take to mitigate risk, improve compliance culture and embed technology in their processes.

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regions bank chief compliance officer