CCOs need to create, update and manage compliance and ethics policies to ensure successful implementation and policy adoption throughout the organization. By Jeremy King | February 9, 2021. He joined Regions in 2011 as president of the South Region, leading banking operations in Alabama, Mississippi, South Louisiana and the Florida Panhandle. Keenan has more than 25 years of human resources experience and has been in his current role since 2010. Are Not Insured by Any Federal Government Agency, Are Not a Condition of Any Banking Activity. 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. Lusco joined Regions in 2011, bringing over 30 years of audit, accounting and risk management expertise in a wide range of institutions. Regions Investment Solutions, 250 Riverchase Parkway East, Hoover, AL 35244. 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. 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. Executive Vice President Couch also plays a key leadership role in the management of Regions Service Providers (Third Party Providers). Senior Executive Vice President Senior Executive Vice President Abrahams graduated from Texas Christian University with a Bachelors Degree in Business Administration with a major in Finance. Gartner Terms of Use Commercial Banking includes clients with revenues between $1MM and $250MM. Prior to joining Regions in 2011, Gale was a founding partner of Maynard Cooper & Gale PC in Birmingham, Alabama. 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. Herron earned a bachelors degree from Samford University in Birmingham, Ala., and a masters degree in Finance from DePaul University in Chicago, Illinois. 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. 2023 Regions Bank. 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. 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. Pichel previously led the Home Equity Committee for the Consumer Bankers Association. 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. Regions is a regional bank that operates throughout the South, Midwest and Texas and is headquartered in Birmingham, Ala. Their job description entails monitoring and analyzing risk areas in a bank's operation to ensure observance of state or federal laws. William D. Ritter 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.. 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. 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. Officers & Directors | Renasant Corporation Hope Mehlman joined Regions in 2006 and serves as the chief governance officer, assistant corporate secretary, and assistant general counsel. Jim Pihera - Chief Compliance Risk Officer at Regions Bank - Wiza Key categories include service provider risk management, strategic sourcing, sourcing operations, supplier relationship management and payments. He leads the companys executive leadership team. The LifeGreen color is a trademark of Regions Bank. Barb Godin He currently serves on the board of the Bank Administration Institute and the Consumer Bankers Association. Scott Peters serves as the head of Regions Consumer Banking Group, which is comprised of the Retail Bank, Mortgage, and Indirect Lending and Partnerships. 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. 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. She joined Regions in July 2015 as the Wealth Strategy and Effectiveness Executive. C. Ward Cheatham He began his career in information systems with McDonnell-Douglas. Scott Peters serves as Chief Transformation Officer and is a member of the companys Executive Leadership Team. 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. He was named president in December 2017. 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. It demonstrates results via staff skills development and target achievements, while empowering business leaders to mitigate risk throughout their organizations. Prior to joining Regions, Owen was chief executive officer of Assurant Specialty Property, a Fortune 500 company based in Atlanta. He is also a member of the companys Executive Leadership Team. 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. Andy represents the bank on various industry boards and committees including; The Clearing House - Secure Digital Payments Board, Fiservs Digital Banking Executive Council, Konys Financial Services Customer Advisory Board, Consumer Bankers Associations Digital Channels Committee, Innovation Depot Velocity Accelerator Committee, and Plug and Play FinTech Selection Committee. 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. Herron has served in senior risk and business roles, including Head of Credit Review and Area President for North Alabama, East Tennessee and Middle Tennessee. Jeremy King | 81,000+ Chief Officer Jobs in United States (3,673 new) - LinkedIn His responsibilities include partnering with technology, operations, line of business and support leaders across the enterprise to deliver solutions that meet the emerging digital needs of customers and associates. CCOs must monitor and respond to changes in compliance risks. Additional information about Regions and its full line of products and services can be found at www.regions.com. As Group Vice President and Director of eCommerce at SouthTrust Bank in Birmingham, Hernandez started the eCommerce group, building it from the ground up. Monitor third and fourth-party compliance activities, keeping in mind the realities of the organizations newly extended enterprise. His responsibilities included overseeing various audits of the overall corporation reporting to the Audit Committee of the Board of Directors. Use our guide to analyze where current efforts diverge from stakeholders' expectations and develop . Abrahams is also the President of the Regions Foundation, which is among the top 100 corporate sponsored foundations (based on endowment size). His career also includes extensive experience in Mortgage operations, digital and technology transformation, and consumer lending. 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. In addition, he helped large banks build out their big data and data science roadmaps. 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. Youre about to leave Regions to use an external site. Back to top The chief compliance officer This article takes a look at the role of the chief compliance officer (CCO). Regions Bank Nix to oversee corporate governance framework supporting Regions services for customers and communities. Abrahams previously served with SunTrust Bank as President and CEO of the companys Hampton Roads region in Virginia and held roles as the retail banking executive and central group retail line of business leader. Turner earned a bachelors degree in Accounting from the University of Alabama in Tuscaloosa and attended Tulane University in Louisiana. Effective July 2, 2018, Turner became the chief executive officer and was appointed to Regions board of directors. Regions Bank is an Equal Housing Lender and Member FDIC. John Turner is president and chief executive officer of Regions Financial Corporation. She is a member of the companys Executive Leadership Team. Regions provides links to other websites merely and strictly for your convenience. Having spent 45 years in the financial services industry, Godin has extensive experience in lending and risk management. He leads the company's Executive Leadership Team. Anthony Restel President, Regional Banking . Since founding the firm in 1984, it has grown to be one of the Southeasts leading law firms. In addition, Nolan oversees competitive and strategic analysis. Regions provides links to other websites merely and strictly for your convenience. During her tenure she has also been responsible for Credit Policy, Credit Administration, Risk Analytics, and Problem Asset Management. 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. The Chief Compliance Officer (CCO) shall be a member of the 'new product' committee/s. Lusco graduated from the University of Mississippi in 1979 with a bachelor's degree in business administration and is a CPA in Alabama, Mississippi and Tennessee. A bank executive develops a new product, maybe a fee-generation concept. RiskClarity is a program that allows you to identify hidden risks and gain visibility into potential problem areas before they arise. Neither Cetera Investment Services, nor Cetera Investment Advisers is an affiliate of Regions Bank. Turner holds a bachelors degree in economics from the University of Georgia. She leads a team responsible for enterprise-wide strategic planning; mergers, acquisitions, and divestitures; and corporate development. Management Bios | Regions Financial Corporation During this period, he served in line management positions in manufacturing, distribution and sales. Responsibilities include governance and operational effectiveness as well as oversight and monitoring. Dave Keenan is Senior Executive Vice President and Chief Human Resources Officer for Regions. September 13 Law and regulation Head - Financial Risk. Deputy Chief Compliance Officer - Retail Broker-Dealer He is also a member of the United Ways Tocqueville Society. Nolan serves on the board of Regions Foundation and is chair of the finance and audit committee. Prior to joining Regions, Turner served as an audit partner of KPMG LLP and he previously served Arthur Andersen in a number of positions, including: audit partner, audit manager, senior auditor and staff auditor. Brett D. Couch He began his career at Crestar Mortgage. The LifeGreen color is a trademark of Regions Bank. Roles included: client management, risk and leadership of client teams including multi-family, retail, office & industrial and REIT groups. Regions Investment Solutions, 250 Riverchase Parkway East, Hoover, AL 35244. Bank compliance officers are responsible for conducting audits and inspections to ensure a bank adheres to set internal and external laws. The site that you are entering is operated or controlled by a third party that is unaffiliated with Regions. John M. Turner, Jr. This frees general counsel (GC) to take a more strategic legal and risk-tolerance approach. Prior to joining Regions, Lusco was managing partner in KPMGs offices in Birmingham, Alabama and Memphis, Tennessee. Chief Governance Officer and Assistant Corporate Secretary. 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 began his banking career in 1987 with Citibank, where he opened and managed a de novo branch, ultimately serving as director of U.S. Ritter earned a bachelors degree in economics from Vanderbilt University and is a graduate of the Stonier School of Banking at Georgetown. 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. Chief Administrative and Human Resources Officer. The key areas of compliance risk include: The CCO of today is someone who has expert capability to manage and implement strategic compliance programs, while still establishing processes for accountability and transparency, particularly in emerging and evolving risk areas, such as those associated with digital transformation. February 9, 2021. Regions News on Twitter: @RegionsNews. Senior Executive Vice President 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. He is also a member of the companys Executive Leadership Team. Keenan holds a Bachelor of Arts degree in Political Science from Furman University where he was named a Distinguished Military Graduate. Jeremy D. King Prior to joining Regions, Lusco was managing partner in KPMG's offices in Birmingham, Alabama and Memphis, Tennessee. Dan Massey serves as Regions Chief Enterprise Operations and Technology Officer and is a member of the companys Executive Leadership Team. CCOs are to outline peer benchmarks and best practices to establish compliance program goals and objectives. The Wealth Management group includes Private Wealth Management, Investment Services, Institutional Services and Asset Management. 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. Hope Mehlman joined Regions in 2006 and serves as the chief governance officer, assistant corporate secretary, and assistant general counsel. Ritter is involved in several community organizations, including serving on the board of directors of Leadership Birmingham and the Birmingham Museum of Art and on the board of trustees for Tuskegee University. Tammy Ridley, SVP, CAMS - Chief Compliance Officer - Regions - LinkedIn Keenan joined Regions predecessor Amsouth Bank in 2003 as leader of the companys Field Human Resources Group. He is a member of the banks Executive Leadership Team. Before his experience in the private sector, Keenan received a regular army commission in 1989 as an Ordinance Officer in the U. S. Army. Manav Misra is the Chief Data and Analytics Officer for Regions Bank. 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. Manav Misra is the Chief Data and Analytics Officer for Regions Bank. His most recent role with Wachovia before joining Regions was assistant treasurer and head of Enterprise Balance Sheet Management. Innovation. Experience. Leadership. Regions Bank Names Dan - Yahoo! 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. (Photo: Business Wire). In his role as general counsel, he provides leadership for the companys legal affairs and ethics program. 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. Nix commits much of his time to community engagement and professional organizations. Peters holds a bachelors of science degree in Marketing from the University of Connecticut, Storrs, Connecticut. 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. Logan M. Pichel Prior to assuming his current role, he was Mid-America region president, overseeing banking operations in Middle and West Tennessee, Texas, North Louisiana, Arkansas, Missouri, Indiana, Kentucky, Illinois and Iowa. 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. Lusco graduated from the University of Mississippi with a bachelors degree in business administration and is a CPA in Alabama and Mississippi. She leads all institutional, retail and fixed income investor relations functions. Head of Corporate Banking Group. Before joining Regions in 2008, Smithy served 15 years at Wachovia Corporation. Compliance risk assessments The chief compliance officer Testing and monitoring Click here to download a compendium that provides details about all five ingredients. Owen, who has held that position since 2018, will officially retire on March 15, 2021, the $145 billion-asset Regions said Tuesday. Massey is responsible for all aspects of Regions Enterprise Operations, Technology and Data and Analytics. Keith Herron is Head of Corporate Responsibility and Community Engagement for Regions. Regions Investment Solutions is a marketing name of Cetera Investment Services. Andrs "Andy" Hernndez Senior Executive Vice President 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. and Senior Executive Vice President In addition to overseeing all Relationship Management activities across the organization, he is responsible for specialty segments including Government and Institutional Banking (GIB), Small Business Administration (SBA) and Agriculture. Senior Executive Vice President Andrews experience and insights will help us build on these accomplishments. At Wachovia, Hernandez was Chief Operating Officer for the General Banks Distribution Group in Charlotte. Smith began his banking career at Deposit Guaranty as a management trainee. Pichel began his career as a financial analyst with General Motors. Mehlman received her bachelors degree from Cornell University. Clients receive 24/7 access to proven management and technology research, expert advice, benchmarks, diagnostics and more. Regions is a regional bank that operates throughout the South, Midwest and Texas and is headquartered in Birmingham, Ala. 2023Gartner, Inc. and/or its affiliates. Based on 20019 salaries posted anonymously by Santander Chief Compliance Officer employees in Braunton. Turner joined Regions in 2006 and led the Internal Audit Division for Regions before being named chief financial officer in 2010. 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. Previously she served as Regions senior compliance manager responsible for consumer compliance, BSA/AML, wealth management compliance, and enterprise monitoring and testing. In addition, Raber created a centralized leveraged lending team providing specialized underwriting and portfolio management oversight. This will help create a long-term strategy and structure to establish metrics and monitoring processes to demonstrate effectiveness. 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. Suite 201, Tempe AZ 85283Sales Representativesince Feb 2011 Hope D.Mehlman Misra was Chief Operating Officer for XProtean, Inc. and was co-founder/ VP of Strategy for StorePerform Technologies (now part of JDA Corporation). He serves on the Public Affairs Research Council of Alabama, A Plus Education Foundation and Infirmary Health System boards. Cheatham graduated from Auburn University with a bachelors degree in accounting. 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. Owen holds a bachelors degree in Aviation Management from Auburn University School of Engineering. Previously Peters was head of the Consumer Banking Group, which is comprised of the Retail Bank, Mortgage, and Indirect Lending and Partnerships. 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. 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. 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. 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. He was a member of the Alabama Commission on Higher Education for nine years and served as the chairman from 1998 to 2000. She assists in setting strategy for the risk group as well as working closely with the Chief Risk Officer in developing and implementing controls and cost-effective approaches to minimize the Banks risk. Abrahams joined Regions in 2013, most recently served as Area President in North Central Alabama. 78 Code Compliance Officer Jobs in Tempe, AZ - Ziprecruiter.com Turner holds a bachelors degree in economics from the University of Georgia and is currently an advisory trustee for the University of Georgia Foundation. Dana W. Nolan Deputy Chief Risk Officer and Chief Credit Officer. He also is a 2013 graduate of Leadership Birmingham and a 2016 graduate of Leadership Alabama. Chief Human Resources Officer. Bank Compliance Officer Job Description Example for the Southeastern Chapter of the Society for Corporate Governance. 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. December 09, 2020, 1:13 p.m. EST 1 Min Read. 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.. Plimpton also served as General Counsel to several GE divisions, including Transportation and Energy. M. Deron Smithy He is a member of the Executive Leadership Team. 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. John Turner is president and chief executive officer of Regions Financial Corporation. Senior Executive Vice President Matt Lusco is Chief Risk Officer and leads the Risk Management Group, which is comprised of risk management operations, including Enterprise Risk, Compliance Risk, Operational Risk, Credit Risk, Market Risk, Business Services Credit, Credit Operations, Problem Asset Management, Risk Analytics and Regulatory Affairs. 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. Leading compliance programs use the investigations process to foster a sense of organizational justice and combat a fear of retaliation. 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. Chief Risk Officer . Executive Vice President 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. 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. Turner earned a bachelors degree in Accounting from the University of Alabama in Tuscaloosa and attended Tulane University in Louisiana. He is a fellow of the American Bar Foundation and has served on the Board of Directors of the American Judicature Society. Regions Investment Solutions is a marketing name of Cetera Investment Services. In 2006, he led the HR integration during the Regions/AmSouth merger. Head of Enterprise Operations. 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. Effective July 2, 2018, Turner became the chief executive officer and was appointed . Ritter is a member of Regions Executive Leadership Team. Chief Digital Officer. Nix commits much of his time to community engagement and professional organizations. 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. Core Product Marketing. 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.