Regions Investment Solutions is a marketing name of Cetera Investment Services. 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 . Head of Enterprise Operations. Community Affairs All Rights Reserved. Are Not Insured by Any Federal Government Agency, Are Not a Condition of Any Banking Activity. Hope Mehlman joined Regions in 2006 and serves as the chief governance officer, assistant corporate secretary, and assistant general counsel. Monitor third and fourth-party compliance activities, keeping in mind the realities of the organizations newly extended enterprise. Regions Bank 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. Plimpton also served as General Counsel to several GE divisions, including Transportation and Energy. (Photo: Business Wire) February 09, 2021 09:00 AM Eastern Standard Time. Turner earned a bachelors degree in Accounting from the University of Alabama in Tuscaloosa and attended Tulane University in Louisiana. Nix to oversee corporate governance framework supporting Regions services for customers and communities. Smith is a member of the companys Executive Leadership Team. Most recently, he held the position of South Region President, overseeing banking operations for Alabama, Mississippi, South Louisiana and the Florida Panhandle. His responsibilities included overseeing various audits of the overall corporation reporting to the Audit Committee of the Board of Directors. 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. 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. 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. Prior to that role he was Head of Strategic and Corporate planning. Bank compliance officers are responsible for conducting audits and inspections to ensure a bank adheres to set internal and external laws. His career also includes extensive experience in Mortgage operations, digital and technology transformation, and consumer lending. 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. C. Ward Cheatham Additional information about Regions and its full line of products and services can be found at www.regions.com. Building a detailed plan. 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. 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. New compliance officers face an overwhelming amount of tasks during their first few months. Prior to assuming his current role Cheatham served as Commercial Banking Executive for the North Central Alabama Area. 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. Chief compliance officers who empower the wider business to own compliance risk succeed on two fronts: They free up space for strategic work which supports business growth and drive employee ownership of compliance risk, ultimately leading to better risk prevention and mitigation. Misra also served as senior director of Business Intelligence & Strategy for KBToys.com and began his career as an assistant professor of Computer Science at the Colorado School of Mines. The LifeGreen color is a trademark of Regions Bank. He began his banking career with Wachovia in Atlanta, Ga., in Commercial Real Estate. He is a member of the Birmingham Downtown Rotary Club, The Monday Morning Quarterback Club and was in the 2001 class of Leadership Birmingham. He leads the companys executive leadership team. Gartner Terms of Use Dave Keenan is Chief Administrative and Human Resources Officer and is a member of the Executive Leadership Team. Cheatham graduated from Auburn University with a bachelors degree in accounting. Keenan earned a bachelors degree in Political Science from Furman University. Regions is a regional bank that operates throughout the South, Midwest and Texas and is headquartered in Birmingham, Ala. Chief Risk Officer . 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 - Financial Risk. 2023 Regions Bank. Head of Corporate Banking Group. 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. Nix will join Regions in March from Birmingham-based Maynard Cooper & Gale PC. 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. Monday through Friday. Martha Raber He later moved into human resources roles in the areas of recruitment, associate relations, and organizational development. He is currently the President of the Congregation of Independent Presbyterian Church and a member of the Rotary Club of Birmingham. She is a member of the National Investor Relations Institute (NIRI) and a graduate of the Momentum Leadership Program. 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. Use our guide to analyze where current efforts diverge from stakeholders' expectations and develop . Misra earned his PhD in computer engineering from the University of Southern California and holds a bachelors degree in electrical engineering from the Indian Institute of Technology Kanpur. and Previously she served as Regions' senior compliance manager responsible for consumer compliance, BSA/AML, wealth management compliance, and enterprise monitoring and testing. Based on 20019 salaries posted anonymously by Santander Chief Compliance Officer employees in Braunton. 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. Head of Wealth Management Group. Chief Risk Officer. She joined Regions in 2003 to lead Consumer Credit Risk. 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. Gartner Terms of Use 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. Before joining KPMG, Lusco was with Arthur Andersens Birmingham, Alabama, office and was managing partner. By Pichel began his career as a financial analyst with General Motors. M. Deron Smithy Program Strategy, Planning & Governance is responsible for oversight of the Compliance Program strategy and execution, Compliance regulatory deliverables, as well as . 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. Herron earned a bachelors degree from Samford University in Birmingham, Ala., and a masters degree in Finance from DePaul University in Chicago, Illinois. 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 Administrative and Human Resources Officer. Regions Investment Solutions, 250 Riverchase Parkway East, Hoover, AL 35244. Having spent 45 years in the financial services industry, Godin has extensive experience in lending and risk management. Absorb data and analytics to evaluate the ongoing ROI of a program, while also identifying opportunities for program improvements and risk mitigation. William D. Ritter 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. Couch earned a bachelors degree in Corporate Finance from the University of Alabama. Ritter is a member of Regions Executive Leadership Team. Keenan has more than 25 years of human resources experience and has been in his current role since 2010. In addition, he helped large banks build out their big data and data science roadmaps. 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. Prior to joining Regions in 2004, Peters served as executive vice president of Fidelity Personal Investments, with segment management responsibility for 2.6 million households, $1.05 billion in revenues, and $230 billion in assets under management. Brett D. Couch The site that you are entering is operated or controlled by a third party that is unaffiliated with Regions. 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. Fournier J. Gale, III Dana Nolan serves as the Head of Investor Relations at Regions. He is a member of the Executive Leadership Team. All new products shall be subjected to intensive monitoring for at least the first six months of introduction to ensure that the indicative parameters of Compliance risk are adequately monitored. Manav Misra 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. Yours faithfully, (Ajay Kumar Choudhary) Chief General Manager. Regions is a regional bank that operates throughout the South, Midwest and Texas and is headquartered in Birmingham, Ala. Hope D.Mehlman Head of the Wealth Management Group. Privacy Policy. 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. Privacy Policy. He was named president in December 2017. Owen, who has held that position since 2018, will officially retire on March 15, 2021, the $145 billion-asset Regions said Tuesday. 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. Executive Vice President By clicking the "Submit" button, you are agreeing to the C. Matthew Lusco . Paul, Seattle, and Portland. 205-264-4551 Peters holds a bachelors of science degree in Marketing from the University of Connecticut, Storrs, Connecticut. He previously served M&T Bank as the Finance Manager for the mortgage business and as a regional manager in the retail bank. In this role, he leads Liquidity and Capital Planning, Investment Management, Asset & Liability Management, Enterprise Model Development and the CCAR process. Prior to joining Regions, he worked in National Accounts for SunTrust Bank overseeing the McDonalds franchise lending program as well as Fortune 1000 companies headquartered in Chicago, Minneapolis/St. Senior Executive Vice President Corporate governance is my passion. 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. 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. During her tenure she has also been responsible for Credit Policy, Credit Administration, Risk Analytics, and Problem Asset Management. Massey is responsible for all aspects of Regions Enterprise Operations, Technology and Data and Analytics. and To ensure the most secure and best overall experience on our website we recommend the latest versions of, Internet Explorer is no longer supported. The LifeGreen color is a trademark of Regions Bank. The Wealth Management group includes Private Wealth Management, Investment Services, Institutional Services and Asset Management. Power, 3 Keys to Successful Machine Learning Operations, Regions Financial Scheduled to Participate in 2023 RBC Capital Markets Global Financial Institutions Conference, Regions Bank Announces John OMera as Market Executive for Panama City. 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. Executive Vice President 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. Scott Peters serves as the head of Regions Consumer Banking Group, which is comprised of the Retail Bank, Mortgage, and Indirect Lending and Partnerships. CCOs need to create, update and manage compliance and ethics policies to ensure successful implementation and policy adoption throughout the organization. Gale reports directly to CEO John Turner and is a member of the companys Executive Leadership Team. Andy Hernandez is Chief Digital Officer for Regions. About this role. Turner holds a bachelors degree in economics from the University of Georgia and is currently an advisory trustee for the University of Georgia Foundation. He also graduated with honors from Stonier Graduate School of Banking at the University of Delaware. David Turner serves as Regions chief financial officer and is a member of the Regions Executive Leadership Team. He is also a member of the companys Executive Leadership Team. for the Southeastern Chapter of the Society for Corporate Governance. Additionally, he served as a member of RMAs Regulatory Relations Committee. She is also a member of the Rotary Club of Greater Birmingham. Responsibilities include governance and operational effectiveness as well as oversight and monitoring. He is a member of the companys Executive Leadership Team. Senior Executive Vice President Turner earned a bachelors degree in Accounting from the University of Alabama in Tuscaloosa and attended Tulane University in Louisiana. 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). 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. Pichel joined Regions in 2005 and has held positions as Head of Consumer Lending and as National Production Manager for Regions Mortgage. 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. (Photo: Business Wire). 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. Before joining AmSouth, Keenan served as director of Human Resources at Frito-Lay, a division of PepsiCo, where he worked for 10 years. Gartner Terms of Use Dan Massey serves as Regions Chief Enterprise Operations and Technology Officer and is a member of the companys Executive Leadership Team. He also has served as commercial banking sales manager and business banking sales manager for North Central Alabama. He joined Regions in 2011 as president of the South Region, leading banking operations in Alabama, Mississippi, South Louisiana and the Florida Panhandle. Effective July 2, 2018, Turner became the chief executive officer and was appointed . 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. Prior to joining Regions, Lusco was managing partner in KPMG's offices in Birmingham, Alabama and Memphis, Tennessee. General Counsel and Corporate Secretary. This 32-page document allows for easier reading and reference. 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). Executive Vice President Nationally, he has served on the ABA Standing Committee of the Federal Judiciary (Eleventh District) and the Standing Committee on Alternative Dispute Resolution. Embed controls to reduce risk in a hybrid work environment. 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. Securities and insurance products are offered through Cetera Investment Services LLC, member FINRA/SIPC. His responsibilities included overseeing various audits of the overall corporation reporting to the Audit Committee of the Board of Directors. Andrews experience and insights will help us build on these accomplishments. Advisory Services are offered through Cetera Investment Advisers LLC. Regions Investment Solutions, 250 Riverchase Parkway East, Hoover, AL 35244. She leads a team responsible for enterprise-wide strategic planning; mergers, acquisitions, and divestitures; and corporate development. 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. Gartner Terms of Use Senior Executive Vice President Keenan holds a Bachelor of Arts degree in Political Science from Furman University where he was named a Distinguished Military Graduate. Tammy LoCascio . Andrew Nix. 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. Bank compliance officers evaluate policies/procedures and ensure they . Youre about to leave Regions to use an external site. 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. 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. Use our resources to assess the current state of the function, map out next steps and implement your plans confidently. 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. C. Keith Herron His primary focus was financial institutions. 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. 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. Executive Vice President His most recent role with Wachovia before joining Regions was assistant treasurer and head of Enterprise Balance Sheet Management. Prior to assuming his current role in 2011, Ritter served as president for the Central Region, overseeing banking operations in Alabama, Georgia and South Carolina. Head of Corporate Banking Group. Gartner is a trusted advisor and objective resource for more than 15,000 enterprises. 8 a.m. 7 p.m. 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. She also serves as vice president and program chair. Ronnie Smith is head of Corporate Banking at Regions, which includes Commercial Banking, Large Corporate Banking, Capital Markets, Real Estate Banking, Regions Business Capital, Credit Products group, and Corporate Banking Group Administration. He is a member of Regions Executive Leadership Team. He received a masters degree in business administration from Emory University, Atlanta, Georgia. In 2006, he led the HR integration during the Regions/AmSouth merger. About Regions Financial Corporation When making the leap to a new position, almost half (46%) of executives across all functions underperform. Before that he was responsible for all geographic line banking functions across the bank and served as the companys Eastern Region President. This frees general counsel (GC) to take a more strategic legal and risk-tolerance approach. Regions News on Twitter: @RegionsNews. 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. Evaluate current compliance program activities and gauge their effectiveness and impact. was Mid-America region president, overseeing banking operations in Middle and West Tennessee, Texas, North Louisiana, Arkansas, Missouri, Indiana, Kentucky, Illinois and Iowa. Smith began his banking career at Deposit Guaranty as a management trainee. Raber currently is a Board member for the International Association of Credit Portfolio Managers (IACPM). Chief Enterprise Operations and Technology Officer. He joined Regions in 2011 as president of the South Region, leading banking operations in Alabama, Mississippi, South Louisiana and the Florida Panhandle. Turner leads all finance operations, including financial systems, investor relations, corporate treasury, corporate tax, management planning and reporting, accounting, and mergers and acquisitions. and Browse 78 TEMPE, AZ CODE COMPLIANCE OFFICER job ($37K-$77K) listings hiring now from companies with openings. Throughout his career, Abrahams has been active in serving and supporting nonprofit organizations dedicated to improving the quality of life in various communities. Maynard Cooper & Gale Shareholder Andrew Nix will join Regions Bank in March as chief governance officer. Discover the four best practice approaches in investigation management. He leads the companys Executive Leadership Team. 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.. Cheatham joined AmSouth in 1996 where he served in roles as Commercial Real Estate Executive and Division Executive for Commercial and Industrial which included leadership for Capital Markets, Leasing, Healthcare and Asset Based Lending. 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. 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). Regions Investment Solutions is a marketing name of Cetera Investment Services. 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