Thomas Rice

Compliance Testing Manager @Regions Bank

Birmingham, AL, US

Designed and implemented a comprehensive transactional testing program, enhancing compliance oversight across multiple business lines.Managed a team of five associates responsible for consumer compliance testing, focusing on CFPB and FRB regulations, while also identifying potential UDAAP issues during transactional testing.Led and facilitated a department-wide training session on writing effective test scripts for transactional testing, increasing test script clarity and consistency.Trained team members on the GRC Archer system’s control and finding functionalities, improving team efficiency and accuracy in risk documentation.Developed strong partnerships with Compliance and Non-Financial Risk executives to align testing initiatives with emerging risks and strategic priorities.Provided leadership and guidance to a team of risk testing leaders and analysts, ensuring effective engagement and professional growth.Directed reporting and communication on control effectiveness, supporting successful regulatory examinations and internal audits.Built transparent, effective relationships with prudent regulators and Internal Audit to support compliance readiness.Participated in senior management committees and contributed to Regions strategic planning process.

Troy University

M.B.A., Accounting

The University of Alabama

Bachelor, Accouting