He is also a member of the companys Executive Leadership Team. Back to top The chief compliance officer This article takes a look at the role of the chief compliance officer (CCO). Turner holds a bachelors degree in economics from the University of Georgia and is currently an advisory trustee for the University of Georgia Foundation. Executive Vice President 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. He is a member of Regions Executive Leadership Team. Flagstar Bank - Scottsdale Arizona branch servicing the valley & the countrySenior Loan Officersince Oct 2011 Credit Justice Services - 1204 E. Baseline Rd. 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. She leads all institutional, retail and fixed income investor relations functions. Prior to joining GE, Plimpton was the managing partner of a law firm and provided legal counsel to a variety of corporate clients in the manufacturing, agricultural, and tourism industries. Monitor third and fourth-party compliance activities, keeping in mind the realities of the organizations newly extended enterprise. An effective compliance program manages corporate compliance with strategic and legal requirements and the principles of ethical culture. Smithy started his career with First Union Bank of Florida as the Central Florida Region Controller in Jacksonville, Florida. 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. Lead one or more second line compliance oversight teams to implement and direct an effective compliance risk management program that sets forth the framework and strategy through which the. He also worked as a Credit Analyst, Commercial and Corporate banker and a Corporate Banking Executive for Central Alabama. 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. 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. President and Chief Executive Officer of Regions Financial Corporation. Based on 20019 salaries posted anonymously by Santander Chief Compliance Officer employees in Braunton. Andrews experience and insights will help us build on these accomplishments. Mehlman received her bachelors degree from Cornell University. Our compliance research and advisory services are designed to help you keep up with the fast-paced changes in the regulatory landscape, manage misconduct risk inside the business and ensure compliance along the supply chain. 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. President and Chief Executive Officer of Regions Financial Corporation. 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. February 9, 2021. 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. 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. 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 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. 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 began his banking career with Citibank, where he opened and managed a de novo branch, ultimately serving as director of U.S. Throughout his career, Abrahams has been active in serving and supporting nonprofit organizations dedicated to improving the quality of life in various communities. Deron Smithy serves as Regions Treasurer. Absorb data and analytics to evaluate the ongoing ROI of a program, while also identifying opportunities for program improvements and risk mitigation. He leads the companys Executive Leadership Team. His responsibilities included overseeing various audits of the overall corporation reporting to the Audit Committee of the Board of Directors. It demonstrates results via staff skills development and target achievements, while empowering business leaders to mitigate risk throughout their organizations. The $164 billion-asset Birmingham, Alabama, bank recently named Scott Peters, formerly the head of the institution's consumer banking . He is a fellow of the American Bar Foundation and has served on the Board of Directors of the American Judicature Society. September 13 Law and regulation To align a bank's compliance program with its overall risk management efforts, a growing number of institutions are positioning the chief compliance officer on a direct reporting line to the CRO. Tammy LoCascio . Scott Peters serves as Chief Transformation Officer and is a member of the companys Executive Leadership Team. Nix will report to Tara Plimpton, chief legal officer for the bank. Additional information about Regions and its full line of products and services can be found at www.regions.com. Executive Vice President Most recently, he held the position of South Region President, overseeing banking operations for Alabama, Mississippi, South Louisiana and the Florida Panhandle. By clicking the "Submit" button, you are agreeing to the Turner earned a bachelors degree in Accounting from the University of Alabama in Tuscaloosa and attended Tulane University in Louisiana. Embed controls to reduce risk in a hybrid work environment. He received a masters degree in business administration from Emory University, Atlanta, Georgia. Misra was Chief Operating Officer for XProtean, Inc. and was co-founder/ VP of Strategy for StorePerform Technologies (now part of JDA Corporation). In recent years, Regions has been recognized for our focus on doing right by all of our stakeholders. Nolan serves on the board of Regions Foundation and is chair of the finance and audit committee. He is currently the President of the Congregation of Independent Presbyterian Church and a member of the Rotary Club of Birmingham. 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. 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. 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. Meet Andrew Nix. Nixs previous legal experience also includes work for Bradley Arant Boult Cummings LLP and Lightfoot Franklin & White LLC. In 2006, he led the HR integration during the Regions/AmSouth merger. Andy began his career at NCR Corporation holding Senior Sales Account Management roles throughout the Southeast, with primary focus on ATMs. Abrahams is also the President of the Regions Foundation, which is among the top 100 corporate sponsored foundations (based on endowment size). Head of Consumer Banking Group. She currently holds Series 79, Series 63 and Series 24 licenses. 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. In her position as chief governance officer, Mehlman advises the Board of Directors and executive management on emerging and leading governance practices, as well as matters related to Environmental, Social, and Governance (ESG). William E. Horton 2023 Regions Bank. He also served two years as head of Business Lines, which included the Business Services, Consumer Services, Consumer Lending and Wealth Management groups, before becoming head of the Regional Banking Group in 2014. 2023Gartner, Inc. and/or its affiliates. Browse 78 TEMPE, AZ CODE COMPLIANCE OFFICER job ($37K-$77K) listings hiring now from companies with openings. 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. 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. Horton holds a bachelors degree from Jacksonville State University in Jacksonville, Alabama, and is a graduate of the Graduate School of Banking at Louisiana State University. Massey is responsible for all aspects of Regions Enterprise Operations, Technology and Data and Analytics. Bill Horton serves as the Head of commercial banking and is a member of the Executive Leadership Team for Regions. From 1986 to 1988, Lusco worked in the Office of the Comptroller of the Currency's 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. 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. Core Product Marketing. Head of Corporate Banking Group. Fournier J. In addition, Nolan oversees competitive and strategic analysis. The LifeGreen color is a trademark of Regions Bank. Hope D.Mehlman 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. 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. Horton joined Regions Management Training Program in 1973 and has served in various roles throughout the bank's branch system. New compliance officers face an overwhelming amount of tasks during their first few months. Andrs "Andy" Hernndez He joined Regions in 2011 as president of the South Region, leading banking operations in Alabama, Mississippi, South Louisiana and the Florida Panhandle. He is a alumnus of the Graduate School of Banking at Louisiana State University. She joined Regions in 2003 to lead Consumer Credit Risk. His responsibilities included overseeing various audits of the overall corporation reporting to the Audit Committee of the Board of Directors. 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. In that role, she led a team of over 450 global professionals running critical compliance, trade, IP, labor, and transactional support for GE globally. Gartner Terms of Use Throughout his career, Massey has been involved in a variety of not-for-profit boards, including serving as president of the Virginia Commonwealth University Alumni Association. He began his career in information systems with McDonnell-Douglas. In his role as general counsel, he provides leadership for the companys legal affairs and ethics program. Turner joined Regions in 2005 and led the Internal Audit Division for Regions before being named chief financial officer in 2010. By 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. Building a detailed plan. The privacy policies and security at the linked website may differ from Regions privacy and security policies and procedures. 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. 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. Massey holds a bachelors degree from Virginia Commonwealth University and is a graduate of the Emory University Advanced Management Program. Senior Executive Vice President Community Affairs 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. 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. He succeeds Hope Mehlman . 4 Models for the Chief Compliance Officer Role. Previously, Turner served as head of the Corporate Bank, a role he took on in 2014. John B. Owen Logan M. Pichel 8 a.m. 7 p.m. The privacy policies and security at the linked website may differ from Regions privacy and security policies and procedures. Investments, Annuities, and Insurance Products, 2021 Supplemental Proxy Materials (March 31, 2021). Mehlman received her bachelors degree from Cornell University. Regions News on Twitter: @RegionsNews. Horton organized and headed the banks Business Loan, Consumer Loan and Direct Loan Centers along with the Home Equity Lending group. Executive Vice President David R. Keenan David Turner serves as Regions chief financial officer and is a member of the Regions Executive Leadership Team. Before joining KPMG, Lusco was with Arthur Andersens Birmingham, Alabama, office and was managing partner. Head of Corporate Banking Group. He is a graduate of Leadership Alabama and a former board member of Leadership Mobile. Beth Ardoin Chief Communications Officer . She also serves as vice president and program chair. He also is a 2013 graduate of Leadership Birmingham and a 2016 graduate of Leadership Alabama. Maynard Cooper & Gale Shareholder Andrew Nix will join Regions Bank in March as chief governance officer. To ensure the most secure and best overall experience on our website we recommend the latest versions of, Internet Explorer is no longer supported. She is a member of the National Investor Relations Institute (NIRI) and a graduate of the Momentum Leadership Program. Owen, who has held that position since 2018, will officially retire on March 15, 2021, the $145 billion-asset Regions said Tuesday. Chief Financial Officer. 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. 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 held a number of positions including Wholesale Funding and Liquidity Manager and Head of Debt and Capital Management, both in the banks Treasury Division. Corporate Banking Division Head. Core Product Marketing. She also serves as vice president and program chair for the Southeastern Chapter of the Society for Corporate Governance. The Chief Compliance Officer (CCO) shall be a member of the 'new product' committee/s. Regions Bank Are Not Insured by Any Federal Government Agency, Are Not a Condition of Any Banking Activity. Chief Human Resources Officer. Since founding the firm in 1984, it has grown to be one of the Southeasts leading law firms. This will help create a long-term strategy and structure to establish metrics and monitoring processes to demonstrate effectiveness. Manav Misra In her position as chief governance officer, Mehlman advises the Board of Directors and executive management on emerging and leading governance practices, as well as matters related to Environmental, Social, and Governance (ESG). Dave Keenan is Senior Executive Vice President and Chief Human Resources Officer for Regions. In this role, he oversees the banks human capital strategy, talent management, diversity and inclusion, compensation and benefits, HR operations and information systems, HR data and analytics, associate conduct, learning and development, corporate security and aviation. Previously, Turner served as head of the Corporate Bank, a role he took on in 2014. He is also a member of the companys Executive Leadership Team. Anthony Restel President, Regional Banking . Nix commits much of his time to community engagement and professional organizations. The foundation primarily supports three strategic priorities: Economic and Community Development; Education/ Workforce Readiness; and Financial Wellness. She joined Regions in July 2015 as the Wealth Strategy and Effectiveness Executive. 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. Senior Executive Vice President Measure your employees perceptions of culture, observations of misconduct and reporting rates to identify where misconduct occurs. Turner is a former chairman of the Mobile Area Chamber of Commerce, the Mobile Area Education Foundation and the United Way of Southwest Alabama. All Rights Reserved. Peters holds a bachelors of science degree in Marketing from the University of Connecticut. Barb Godin At Cognilytics, he helped banks address data and models for various regulatory filings, including Comprehensive Capital Analysis and Rreview (CCAR), DFAST and Basel. 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. Barb Godin is the Deputy Chief Risk Officer and Chief Credit Officer and is a member of the Executive Leadership Team. 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. was Mid-America region president, overseeing banking operations in Middle and West Tennessee, Texas, North Louisiana, Arkansas, Missouri, Indiana, Kentucky, Illinois and Iowa. Nix will report to Tara Plimpton, chief legal officer for the bank. Hope Dmuchowski Chief Financial Officer. 8 a.m. 5 p.m. GMT 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. Regions provides links to other websites merely and strictly for your convenience. In addition, as corporate secretary, Gale advises the Board on its role and responsibilities, including its fiduciary responsibilities, and oversees the companys corporate governance policies and practices, the preparation of the proxy statement and sustainability report, the companys engagement with institutional investors on corporate governance matters, and compliance with various regulatory and listing requirements.
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