Mike Keener
EVP
- Role
- EVP, Chief Compliance Officer at Cadence Bank
- Location
- Birmingham, AL, US
- LinkedIn followers
- 500 followers
About Mike Keener
Cadence Bank - Birmingham, AlabamaEVP, Chief Compliance Officer 2015 - presentSterne, Agee & Leach – Birmingham, Alabama Head of AML Head of Compliance Systems Head of Registrations & LicensingCCO Sterne Agee Clearing 20••••15Head of Retail Compliance 20••••10AML Compliance Officer 20••••09Regulatory Reporting Manager - 2003 BBVA Compass Bank – Birmingham, Alabama VP, Division Finance Manager 1998 - Fixed Income Compliance 19••••98AVP, Compliance Analyst 19••••95Management Accountant 19••••93Correspondent Service Rep. 19••••89Retail Salesman 19••••88Banking Intern 1986Securities Licenses Series 7 General Securities RepresentativeSeries 24 General Securities PrincipalSeries 53 Municipal Securities PrincipalSeries 4 Options Securities PrincipalSeries 27 Financial and Operational PrincipalSeries 63 Uniform Securities Agent State Law and advisory services are offered through LPL Financial (LPL), a registered investment advisor and broker-dealer. Member FINRA/SIPC. finra.org sipc.org.Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to accuracy or completeness. The financial professionals associated with LPL Financial may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state.
Experience
EVP, Chief Compliance Officer
Aug 2015 — Present · Birmingham, AL, US
My duties currently include oversight of the development of guidelines for identifying, assessing, controlling, measuring, monitoring, and reporting compliance risks across the organization, and providing compliance training throughout the organization. I am responsible for ensuring processes are adequate and completed timely.
Education
University of Alabama
Bachelor of Science (BS)
1982 — 1985
Samford University
Master of Business Administration (MBA)
1989 — 1992
Skills
- Trading
- Investments
- Series 24
- Finance
- Banking
- Risk Management
- Anti Money Laundering
- Equities
- Series 7
- Series 63
- Finra
- Securities Regulation
- Securities
- Financial Analysis
- Fixed Income
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