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CCOs must monitor and respond to changes in compliance risks. For bank chief risk officers, no room for error in compliance Regions Bank Corporate Banking Division Head. Ritter earned a bachelors degree in economics from Vanderbilt University and is a graduate of the Stonier School of Banking at Georgetown. Andy began his career at NCR Corporation holding Senior Sales Account Management roles throughout the Southeast, with primary focus on ATMs. Scott Peters serves as the head of Regions Consumer Banking Group, which is comprised of the Retail Bank, Mortgage, and Indirect Lending and Partnerships. Regions Bank is an Equal Housing Lender and Member FDIC. 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. Questions about becoming a Gartner client? 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. As Group Vice President and Director of eCommerce at SouthTrust Bank in Birmingham, Hernandez started the eCommerce group, building it from the ground up. FAQs on Compliance functions in banks and Role of Chief Compliance Officer (CCO . 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. Gartner Terms of Use Lead Compliance Officer job in Tempe at Wells Fargo He also has served as commercial banking sales manager and business banking sales manager for North Central Alabama. Securities and insurance products are offered through Cetera Investment Services LLC, member FINRA/SIPC. Keenan earned a bachelors degree in Political Science from Furman University. 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., 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. Before moving into his current role as head of Commercial Banking in 2016, he has managed several areas in both Consumer and Business Services including BankCard, Consumer Lending, Business Banking, as well as Consumer Loan and Deposit Product Management teams. Regions Bank Names Scott Peters as Chief Transformation Officer; Kate 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. Throughout his career, Abrahams has been active in serving and supporting nonprofit organizations dedicated to improving the quality of life in various communities. 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. He is also a member of the companys Executive Leadership Team. He leads the company's Executive Leadership Team. Senior Executive Vice President In recent years, Regions has been recognized for our focus on doing right by all of our stakeholders. Prior to joining Regions in 2011, Gale was a founding partner of Maynard Cooper & Gale PC in Birmingham, Alabama. In addition, Nolan oversees competitive and strategic analysis. He is a member of the companys Executive Leadership Team. Regions Bank names Maynard attorney Andrew Nix chief governance officer In recent years, Regions has been recognized for our focus on doing right by all of our stakeholders. 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. Head of Enterprise Operations. 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 provides links to other websites merely and strictly for your convenience. The LifeGreen color is a trademark of Regions Bank. Embed controls to reduce risk in a hybrid work environment. 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. The privacy policies and security at the linked website may differ from Regions privacy and security policies and procedures. Dana W. Nolan Advisory Services are offered through Cetera Investment Advisers LLC. Danella earned a bachelors degree in Economics and English from Vanderbilt. He is a member of the banks Executive Leadership Team. 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. He also has served as commercial banking sales manager and business banking sales manager for North Central Alabama. Owen, who has held that position since 2018, will officially retire on March 15, 2021, the $145 billion-asset Regions said Tuesday. Regions, the Regions logo and the LifeGreen bike are registered trademarks of Regions Bank. 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. Youre about to leave Regions to use an external site. Nix is a member of the Society for Corporate Governance, the Kiwanis Club of Birmingham, the Board of Directors of Better Basics, and the United Way of Central Alabama Tocqueville Society, and he has served on various committees of the Alabama State Bar. Tammy LoCascio . 2023 Regions Bank. 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. 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. 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). 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. and The Chief Compliance Officer | Deloitte US David R. Keenan Brett D. Couch Plimpton also served as General Counsel to several GE divisions, including Transportation and Energy. Hope Mehlman joined Regions in 2006 and serves as the chief governance officer, assistant corporate secretary, and assistant general counsel. 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. Dave Keenan is Senior Executive Vice President and Chief Human Resources Officer for Regions. Dan Massey serves as Regions Chief Enterprise Operations and Technology Officer and is a member of the companys Executive Leadership Team. 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. Save time and execute with confidence when creating your strategic plan for compliance. 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. 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. Core Product Marketing. She currently holds Series 79, Series 63 and Series 24 licenses. John Turner is president and chief executive officer of Regions Financial Corporation. You should consult privacy disclosures at the linked website for further information. Andrews experience and insights will help us build on these accomplishments. He began his career in information systems with McDonnell-Douglas. Massey is responsible for all aspects of Regions Enterprise Operations, Technology and Data and Analytics. He leads the companys executive leadership team. May 27, 2022, 1:30 p.m. EDT 3 Min Read. Fournier J. Gale, III His primary focus was financial institutions. Neither Cetera Investment Services, nor Cetera Investment Advisers is an affiliate of Regions Bank. Additional information about Regions and its full line of products and services can be found at www.regions.com. William D. Ritter Evaluate current compliance program activities and gauge their effectiveness and impact. C. Matthew Lusco CCOs need to create, update and manage compliance and ethics policies to ensure successful implementation and policy adoption throughout the organization. Senior Executive Vice President Nix commits much of his time to community engagement and professional organizations. He is also a member of the companys Executive Leadership Team. 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. Reveal contact info Contact details Work email j*****@regio***.com Valid Reveal Latest update September 27, 2021 Location Birmingham, Alabama, United States Jim's current employer Tara Plimpton - Senior Executive Vice President Chief Legal Officer When making the leap to a new position, almost half (46%) of executives across all functions underperform. Pichel earned a bachelors degree in both finance and education from Ohio Northern University, and a MBA from the University of Michigan. Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of the Program Strategy, Planning, & Governance Team.Learn more about the career areas and lines of business at wellsfargojobs.com . Use our guide to analyze where current efforts diverge from stakeholders' expectations and develop actionable risk guidance. He earned a bachelors degree with Honors from the University of Florida in Computer & Information Sciences. Back to top The chief compliance officer This article takes a look at the role of the chief compliance officer (CCO). Are Not Insured by Any Federal Government Agency, Are Not a Condition of Any Banking Activity. Are Not Insured by Any Federal Government Agency, Are Not a Condition of Any Banking Activity. Previously, Turner served as head of the Corporate Bank, a role he took on in 2014. 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. Nix is a member of the Society for Corporate Governance, the Kiwanis Club of Birmingham, the Board of Directors of Better Basics, and the United Way of Central Alabama Tocqueville Society, and he has served on various committees of the Alabama State Bar. 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. 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. Most recently, he held the position of South Region President, overseeing banking operations for Alabama, Mississippi, South Louisiana and the Florida Panhandle. Prior to assuming her current role in 2018, Raber led debt product delivery across Regions Corporate Banking platform and served as the banks Specialized Industries Credit Executive. 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. Use our guide to analyze where current efforts diverge from stakeholders' expectations and develop . All rights reserved. Sorry, No data match for your criteria. Boots Gale, III is general counsel and corporate secretary for Regions. 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. Management | Regions Financial Corporation Gale reports directly to CEO John Turner and is a member of the companys Executive Leadership Team. Plimpton joined Regions in 2020, following an 18-year career at General Electric. 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. Pichel began his career as a financial analyst with General Motors. 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. He was named president in December 2017. All Rights Reserved. Meet Andrew Nix. Suite 201, Tempe AZ 85283Sales Representativesince Feb 2011 Previously Danella was head of Strategic Planning and Consumer Bank Products and Origination Partnerships. Head of Strategic Planning & Corporate Development. Nix to oversee corporate governance framework supporting Regions services for customers and communities. From 2006-2010, Mehlman served as associate general counsel responsible for counseling lines of businesses on a full range of legal, regulatory, and compliance issues needed to operate in a highly regulated area. Building a detailed plan. At Cognilytics, he helped banks address data and models for various regulatory filings, including Comprehensive Capital Analysis and Rreview (CCAR), DFAST and Basel. Tammy LoCascio Chief Operating Officer . He earned a masters degree in Human Resources from Boston University. 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. He joined Regions in 2011 as president of the South Region, leading banking operations in Alabama, Mississippi, South Louisiana and the Florida Panhandle. 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. Design a human-centric compliance culture. Hernandez was named a Digital Banker of the Year Finalist by American Banker in 2017. Senior Executive Vice President William E. Horton 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. Hope Dmuchowski Chief Financial Officer. Before his experience in the private sector, Keenan received a regular army commission in 1989 as an Ordinance Officer in the U. S. Army. She leads all institutional, retail and fixed income investor relations functions. At Wachovia, Hernandez was Chief Operating Officer for the General Banks Distribution Group in Charlotte. 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.. Regions News Online: regions.doingmoretoday.com 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. 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 assuming her current role, she was named associate director of investor relations in 2010. Executive Vice President Couch also plays a key leadership role in the management of Regions Service Providers (Third Party Providers). He is responsible for 1,500+ facilities and workplace strategy. Privacy Policy. By clicking the "" button, you are agreeing to the and Mehlman received her bachelors degree from Cornell University. Reserve Bank of India - Notifications During this period, he served in line management positions in manufacturing, distribution and 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. Senior Executive Vice President Keenan joined Regions predecessor Amsouth Bank in 2003 as leader of the companys Field Human Resources Group. In that role, she led a team of over 450 global professionals running critical compliance, trade, IP, labor, and transactional support for GE globally. 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. Gartner Terms of Use Anthony Restel President, Regional Banking . Head of Corporate Real Estate and Procurement. jsbacContactjsbacContact 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. September 13 Law and regulation Leadership Team and Board of Directors - First Horizon Bank 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. During this time she designed and implemented the Debt Products Organization, bringing together underwriting, portfolio management, quality assurance and loan fulfilment activities for C&I and Real Estate portfolios. Smith began his banking career at Deposit Guaranty as a management trainee. 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. Chief Risk Officer. Head of Commercial Banking. He is a member of the Birmingham Downtown Rotary Club, The Monday Morning Quarterback Club and was in the 2001 class of Leadership Birmingham. Prior to joining Regions, Owen was chief executive officer of Assurant Specialty Property, a Fortune 500 company based in Atlanta. 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. By Gartner Terms of Use 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. Chief Financial Officer. He oversees a number of enterprise functions, including Corporate Communications, the Regions Foundation, Community Affairs and Charitable Giving, Government Affairs and Economic Development, Fair and Responsible Banking, Customer Experience and Regions360. Danella earned a bachelors degree in Economics and English from Vanderbilt.