regions bank chief compliance officer regions bank chief compliance officer

Hernandez was named a Digital Banker of the Year Finalist by American Banker in 2017. His primary focus was financial institutions. 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. Fill out the form to connect with a representative and learn more. Scott M. Peters M. Deron Smithy Prior to that, Danella led Private Wealth Management. 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. He is also a member of the companys Executive Leadership Team. Bill Ritter serves as Head of the Wealth Management group. As Group Vice President and Director of eCommerce at SouthTrust Bank in Birmingham, Hernandez started the eCommerce group, building it from the ground up. She serves on the board for the Virginia Samford Theatre, the Community Foundation of Greater Birmingham, Jones Valley Teaching Farms, as well as the Board of Overseers for the Culverhouse School of Business. Use this one-page template to communicate your strategy with internal business partners. Additionally, he served as a member of RMAs Regulatory Relations Committee. 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. CCOs are to outline peer benchmarks and best practices to establish compliance program goals and objectives. Community Affairs is comprised of Community Relations, Community Development, Disability Services & Outreach, and Service Members & Veterans Affairs. 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. Prior to being named in this position, he was the executive vice president of Field HR where he led the 2008 talent integration during the merger of Regions and AmSouth Bank. 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. Brett Couch leads Regions Banks Corporate Real Estate and Procurement divisions. Monitor third and fourth-party compliance activities, keeping in mind the realities of the organizations newly extended enterprise. 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. As Regions Chief Operating Officer, John Owen leads Enterprise Operations, Information Technology, Data and Analytics, Corporate Real Estate and Procurement, Corporate Marketing, and Digital Banking. Cheatham graduated from Auburn University with a bachelors degree in accounting. Abrahams graduated from Texas Christian University with a Bachelors Degree in Business Administration with a major in Finance. Regions Investment Solutions is a marketing name of Cetera Investment Services. 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. At GE, Plimpton most recently served as Vice President and General Counsel for GE Global Operations. She currently holds Series 79, Series 63 and Series 24 licenses. Regions Bank Regions Investment Solutions is a marketing name of Cetera Investment Services. Regions Financial in Birmingham, Ala., will split up its chief operating officer's responsibilities rather than appoint a new COO when John Owen retires next year. Mehlman received her bachelors degree from Cornell University. Regions provides links to other websites merely and strictly for your convenience. Regions Investment Solutions, 250 Riverchase Parkway East, Hoover, AL 35244. Lusco graduated from the University of Mississippi with a bachelors degree in business administration and is a CPA in Alabama and Mississippi. Evaluate current compliance program activities and gauge their effectiveness and impact. 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. Executive Vice President The site that you are entering is operated or controlled by a third party that is unaffiliated with Regions. Gartner is a trusted advisor and objective resource for more than 15,000 enterprises. 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. He earned a masters degree in Human Resources from Boston University. Hope Mehlman joined Regions in 2006 and serves as the chief governance officer, assistant corporate secretary, and assistant general counsel. Dan Massey serves as Regions Chief Enterprise Operations and Technology Officer and is a member of the companys Executive Leadership Team. Jeremy King | Dana W. Nolan 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. Discover the four best practice approaches in investigation management. Plimpton was recognized earlier this year by the Birmingham Business Journal as a 2022 Leader in Diversity. He began his career in the Jackson, Mississippi office of Arthur Andersen. Gale is a former president of both the Alabama State Bar and the Birmingham Bar Association. Head of Commercial Banking. Prior to assuming his current duties in 2018, Couch previously served as East Region president where he was responsible for banking operations in Florida, Georgia, East Tennessee, North Carolina, and South Carolina. and Owen holds a bachelors degree in Aviation Management from Auburn University School of Engineering. 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. 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. He later moved into human resources roles in the areas of recruitment, associate relations, and organizational development. Privacy Policy. 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. Tammy LoCascio . Corporate governance is my passion. Gartner Terms of Use Turner joined Regions in 2006 and led the Internal Audit Division for Regions before being named chief financial officer in 2010. Having spent 45 years in the financial services industry, Godin has extensive experience in lending and risk management. 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. He is a alumnus of the Graduate School of Banking at Louisiana State University. In this role, his primary focus was in providing audit and business advisory services to publicly and privately held companies, particularly commercial banks in the southeastern United States. 8 a.m. 5 p.m. GMT You should consult privacy disclosures at the linked website for further information. Executive Vice President 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. 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. 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. He began his career at Crestar 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. 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. Head of Consumer Banking Group. Executive Vice President Chief Financial Officer. 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. This will help create a long-term strategy and structure to establish metrics and monitoring processes to demonstrate effectiveness. 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. Officers & Directors | Renasant Corporation Personal Business Mortgage Locations Officers & Directors Corporate Overview News & Market Data Stock Information SEC Filings Annual Reports ESG Corporate Governance IR Resources Board of Directors Executive Officers A bank that understands you. Effective July 2, 2018, Turner became the chief executive officer and was appointed . She joined Regions in 2003 to lead Consumer Credit Risk. Previously Peters was head of the Consumer Banking Group, which is comprised of the Retail Bank, Mortgage, and Indirect Lending and Partnerships. 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. (Photo: Business Wire). President, Regions Foundation. 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. Senior Executive Vice President Use our resources to assess the current state of the function, map out next steps and implement your plans confidently. Please refine your filters to display data. Back to top The chief compliance officer This article takes a look at the role of the chief compliance officer (CCO). It demonstrates results via staff skills development and target achievements, while empowering business leaders to mitigate risk throughout their organizations. 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. Before joining KPMG, Lusco was with Arthur Andersens Birmingham, Alabama, office and was managing partner. 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. He joined Assurant as senior vice president of Information Technology. Roles included: client management, risk and leadership of client teams including multi-family, retail, office & industrial and REIT groups. C. Keith Herron David J. Turner, Jr. Regions Bank is an Equal Housing Lender and Member FDIC. Chief Enterprise Operations and Technology Officer. Deron Smithy serves as Regions Treasurer. Download our eBookto explore the key actions for CCOs heading into 2022: By clicking the "Continue" button, you are agreeing to the Investments, Annuities, and Insurance Products, 2021 Supplemental Proxy Materials (March 31, 2021), Smith began his banking career at Regions as a management trainee in 1981. The privacy policies and security at the linked website may differ from Regions privacy and security policies and procedures. Previously she served as Regions' senior compliance manager responsible for consumer compliance, BSA/AML, wealth management compliance, and enterprise monitoring and testing. 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. Nolan joined Regions in 1989. Smithy holds a Bachelor of Science degree in finance from the University of Florida and a Masters of Business Administration degree from the University of North Carolina at Charlotte. 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. She also serves as vice president and program chair. 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 is a member of the National Investor Relations Institute (NIRI) and a graduate of the Momentum Leadership Program. She is a member of the companys Executive Leadership Team. Chief Administrative and Human Resources Officer. 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. 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. In his role as general counsel, he provides leadership for the companys legal affairs and ethics program. He began his banking career with Citibank, where he opened and managed a de novo branch, ultimately serving as director of U.S. Beth Ardoin Chief Communications Officer . Paul, Seattle, and Portland. Chief Legal Officer and Corporate Secretary. In addition, Nolan oversees competitive and strategic analysis. Design a human-centric compliance culture. In recent years, Regions has been recognized for our focus on doing right by all of our stakeholders. Use our guide to analyze where current efforts diverge from stakeholders' expectations and develop actionable risk guidance. President and Chief Executive Officer of Regions Financial Corporation. 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. 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. The Wealth Management group includes Private Wealth Management, Investment Services, Institutional Services and Asset Management. Kate Danella is head of Regions Consumer Banking Group, which is comprised of the Retail Bank, Mortgage, and Indirect Lending and Partnerships. She reports to the Chief Risk Officer, and is responsible for the overall direction of the banks risk management with a particular focus on credit risk. Neither Cetera Investment Services, nor Cetera Investment Advisers is an affiliate of Regions Bank. 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). He is a member of the Birmingham Downtown Rotary Club, The Monday Morning Quarterback Club and was in the 2001 class of Leadership Birmingham. John B. Owen 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. Before joining KPMG, Lusco was with Arthur Andersen's Birmingham, Alabama, office from 1989 to 2002 and was managing partner from 1996 to 2002. Horton is involved in a number of community activities, including serving on the board of UAB Health Services Foundation, St. Vincents Health Systems, Childrens of Alabama, Childrens Harbor and Lakeshore Foundation. Clients receive 24/7 access to proven management and technology research, expert advice, benchmarks, diagnostics and more. Internet Explorer presents a security risk. Before joining SunTrust, Abrahams was a consumer banking manager in eastern Tennessee for Regions. Turner is a former chairman of the Mobile Area Chamber of Commerce, the Mobile Area Education Foundation and the United Way of Southwest Alabama. Keenan earned a bachelors degree in Political Science from Furman University. 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. Turner holds a bachelors degree in economics from the University of Georgia and is currently an advisory trustee for the University of Georgia Foundation. Regions, the Regions logo and the LifeGreen bike are registered trademarks of Regions Bank. 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. Previously Danella was head of Strategic Planning and Consumer Bank Products and Origination Partnerships. Manav Misra is the Chief Data and Analytics Officer for Regions Bank. He also served as the Florida president.