BISA Portfolio Podcast

Bank Insurance and Securities Association

A look at issues affecting the bank and insurance securities community read less
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Episodes

DE&I Rising Stars: Making the Most of Mentorship
Nov 14 2023
DE&I Rising Stars: Making the Most of Mentorship
In this episode of the BISA Portfolio Podcast, learn why mentoring matters and how to make the most of it from 2023 DE&I Rising Stars awardee Lindsay Diehl Green, United Bank, and her mentor, Pamela Dawson, US Bank. Piera Valle of Pacific Life is guest host of this podcast.Topics covered include:Takeaways from the DE&I Rising Stars mentorship programWhat they've learned through this programWhy they see mentorship and sponsorship as valuable to the industryWhat they've learned from each otherHow mentees can make the most of their time with a mentorAbout Piera ValleAs a senior director in strategic accounts, Piera is responsible for developing and growing strategic partnerships for Pacific Life’s Consumer Markets Division.  She also serves as a board member for Pacific Life’s Women at PL connections group, focusing on their community efforts and has been on the BISA DE&I Committee for the last five years. About Pamela DawsonAs director of advisory business relations within U.S. Bank AssetManagement Group (AMG), Pamela is responsible for driving increasedawareness of AMG’s investment thought leadership, resource capabilitiesand portfolio construction guidance.Pamela specifically works with wealth management teams in U.S. BancorpInvestments, an affiliate of U.S. Bank, in affluent markets. In this role, shedevelops and delivers appropriate education and coaching to help teammembers better understand, access and leverage AMG’s expertise in clientacquisition and retention opportunities. She is also a member of AMG’sleadership team.With more than 30 years helping organizations grow their businesses,Pamela is an experienced executive in the financial services industry.Prior to joining U.S. Bank, she was the senior director of the bank channelfor Russell Investments, where she established and grew the retail channel tomore than $4.5 billion in assets during her seven-year tenure. Prior to Russell,she was a district sales manager for U.S. Bancorp Investments, an affiliate ofU.S. Bank. Pamela has also spent time in national accounts with AmericanInternational Group (AIG) and was the president of the broker/dealer divisionat Washington Mutual.  About Lindsay Diehl GreenLindsay serves as vice president, assistant director of operations & client services for United Wealth Management and United Brokerage Services, Inc. Responsible for the day-to-day management and oversight of account administration and operations, Lindsay works as part of the leadership team to develop and improve long-term strategies to meet client and company objectives. Lindsay joined United in 2005, and has held several leadership roles across the retail, brokerage and wealth management departments. Lindsay also serves as vice chair of United’s DE&I Council. She has been nationally recognized by BISA, being named to the DE&I Rising Star Program Class of 2023, and statewide by The WV State Journal’s Generation Next: 40 Under 40 Class of 2023 honoree. She is a long serving Advisory Council member and active volunteer for the Children’s Home Society of West Virginia. Lindsay holds the following licenses: Series 7, Series 66 and Life & Health Insurance. BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. Visit the Portfolio content hubBecome a BISA member
Regulatory & Compliance: Off-Channel Communications and Complex Products
Oct 16 2023
Regulatory & Compliance: Off-Channel Communications and Complex Products
Kenneth Cherrier of F&G interviews Kendra Cain of Arvest and Kevin Larson of Cetera Financial Group on two topics making a splash in regulatory and compliance right now: off-channel communications and complex products through a Regulation Best Interest (Reg BI) lens.  Listen to this podcast episode on your way to the BISA Regulatory & Compliance Summit, November 13 - 14, the event bringing together program executives and compliance officers from across the bank insurance and securities industry to learn about and discuss pressing regulatory and compliance issues. Key topics discussed:How staff communication is handled at their organizationsIf their organizations place restrictions on which digital communications to allowWhat information security requirements are considered when implementing new communication channels and vendorsA few thought experiments on complex products — including whether an RR should be compensated more for additional complex product training; must a client fully understand all functionality of a complex product; and what steps BDs and RRs take when selling complex products to meet Best Interest requirementsAbout Kenneth CherrierAs the CCO for Fidelity & Guaranty, Kenneth is responsible for the firm’s day-to-day Enterprise Risk Management function and has held numerous positions with prior firms in senior executive-level roles. Taking a “stewardship” approach to the industry, Kenneth acts as a FINRA arbitrator and is/has been an active member of numerous industry associations, such as NSCP, FSI, BISA, and CEFLI. He has sat on the Board of the NSCP, has thrice served as a member of the FINRA District 4/Midwest Regional Committee, and sat on FINRA’s Regulatory Affairs and Continuing Education Committees. About Kendra CainKendra serves as chief compliance officer at Arvest Wealth Management. She is an Accredited Investment Fiduciary (AIF®) and a Certified Regulatory and Compliance Professional (CRCP®). Kendra is also a member of the Bank Insurance and Securities Association's Regulatory and Compliance Education Committee. She has over 20 years of industry experience and has worked at other regional broker-dealers and investment advisors in various roles, including CCO and Director of Compliance and Operations. Kendra graduated from the University of Louisiana at Lafayette and resides in Lafayette, Louisiana. About Kevin LarsonKevin joined Cetera Investment Services in 2014 as the Chief Compliance Officer. In that capacity, he oversaw all compliance functions of Cetera Investment Services. He currently works within Risk Management at Cetera Financial Group. He is actively engaged in BISA and IRI to help provide education and act as a resource to banks and credit unions in this profession. Prior to joining Cetera, Kevin was the Chief Compliance Officer and Anti-Money Laundering Officer for a regional broker-dealer for seven years. Kevin holds his Series 7 and 24 licenses and received a Bachelor of Science degree in Marketing from Saint Cloud State UniversityBISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. Visit the Portfolio content hubBecome a BISA member
Portfolio Podcast Episode 16: The Evolution of the Wealth Client
Sep 12 2023
Portfolio Podcast Episode 16: The Evolution of the Wealth Client
Truist's Jacinda Norvell and Huntington's Mike Miroballi, BISA president, join host Jeff Hartney, BISA executive director, to discuss how the typical wealth client is evolving and changing. Here are a few highlights you won't want to miss in this episode of the BISA Portfolio Podcast:How the needs and expectations of the wealth client have changedEffective strategies to meet clients at different life stagesEnsuring clients receive tailored financial solutionsHow to leverage technology to enhance the client experienceEnsuring inclusivity and accessibilityProviding value-added services to address client life goalsWealth transfer and intergenerational planning for high-net-worth familiesAbout Jacinda NorvellJacinda Norvell is a senior managing director and the wealth brokerage sales execution director for Truist Wealth and Trust Investment Services, Inc. offering over 25 years of financial services experience. Prior to joining SunTrust, now Truist, in 1997, Jacinda obtained both retail brokerage and institutional investment experience at The Robinson Humphrey Company and Invesco. Having worked in various management roles at SunTrust, now Truist, Jacinda currently leads sales enablement efforts for their broker/dealer focused on advisor recruiting and retention, business planning and execution for managers and advisors, and development and DEI initiatives. About Mike MiroballiAs president of the Huntington Investment Company, Michael Miroballi is responsible for leading the strategic direction, overseeing regulatory governance and setting priorities for the business.  Michael joined Huntington in February of 2017 after spending nearly 16 years at BMO Financial Group. He has over 30 years of experience in financial services. Michael spent the early part of his career with Merrill Lynch and Citigroup as a financial advisor.  He obtained his CFA designation in 2000 and transitioned to portfolio management and trust investment management with Harris Private Bank, now known as BMO Private Bank, where among his accomplishments he led the creation of BMO’s open architecture outside manager and mutual fund platform. In 2007, Michael was appointed president of the bank’s retail broker-dealer, BMO Harris Financial Advisors.  As president of BMO Harris Financial Advisors, Mike led the transformation of the business to become a leader among peers in the growth of investment advisory assets under management. Likewise, as president of Huntington Investment Company, he has led the transformation of the business to become a planning-based advisory firm with advisory assets growing more than five-fold in just over five years.  BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. Visit the Portfolio content hubBecome a BISA member
Portfolio Podcast Episode 13: Circle of Excellence Awardees on Fostering Community
Feb 3 2023
Portfolio Podcast Episode 13: Circle of Excellence Awardees on Fostering Community
In this episode of BISA Portfolio Podcast, Jane-ellen Porter interviews Circle of Excellence Awardees, Jim Nonnengard and John Olerio, on how they've fostered community throughout their careers. They discuss:Their many years taking advantage of all networking opportunities BISA providesStrategies for seeking and developing community through networkingHow competitors become friends through BISA connectionsAbout Jane-ellen PorterJane-ellen Porter is senior vice president and affluent regional sales manager for Wilmington Advisors @ MT.  In this role, she is responsible for managing the development, sales and relationship management of the Southern Connecticut and Tarrytown, New York investment and life insurance solutions and services offered through the Financial Advisors and Licensed Bank Employees.About Jim NonnengardJim Nonnengard serves as president of Regions Investment Services for the Wealth Management Group at Regions, a regional bank that operates throughout the South, Midwest and Texas and is headquartered in Birmingham, AL. He is responsible for providing executive and regulatory oversight of the Investment Services Department, which is comprised of Securities Licensed Financial Advisors and Insurance Licensed Bankers.About John OlerioWith over 30 years of industry experience, John has focused his career on being a program manager for large regional banks with extensive experience with TPMs. He has been with Webster Investments since 1997 and has implemented short-term and long-term strategies to help set the directional course for the business line. John provides strategic strategies to the Community Bank and implements business plans that drive growth for the bank. -------------DISCLAIMER FROM LPLThe opinions voiced in this show (program) are for general information only and are not intended to provide specific advice or recommendations for any individual. To determine which investment(s) may be appropriate for you, consult with your attorney, accountant, and financial advisor or tax advisor prior to investing. Securities and advisory services are offered through LPL Financial (LPL), a registered investment advisor and broker-dealer (member FINRA/SIPC).  Insurance products are offered through LPL or its licensed affiliates. Webster Bank and Webster Investments are not registered as a broker-dealer or investment advisor. Registered representatives of LPL offer products and services using Webster Investments, and may also be employees of Webster Bank.  These products and services are being offered through LPL or its affiliates, which are separate entities from, and not affiliates of, Webster Bank or Webster Investments. Securities and insurance offered through LPL or its affiliates are: | Not Insured by FDIC or Any Other Government Agency | Not Bank Guaranteed | Not Bank Deposits or Obligations | May Lose ValueLPL Financial, Webster Investments and Webster Bank are not affiliated with BISA or any other referenced entities.-------------BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. Visit the Portfolio content hubBecome a BISA member
Portfolio Podcast Episode 10: Managing Exam Priorities With Carol Goulding & Serina Shores
Nov 3 2022
Portfolio Podcast Episode 10: Managing Exam Priorities With Carol Goulding & Serina Shores
Managing SEC and FINRA exam priorities isn't always a walk in the park, but guest host Carol Goulding (M&T Securities) and guest Serina Shores (Huntington Financial Advisors) break down how they do so effectively — and have fun along the way — in this edition of the BISA Portfolio Podcast. Topics discussed include:Process for analyzing letters (8:12)Finding best practices (10:45)Contacting regulators directly (12:52)Addressing results of FINRA analysis (15:47)Involving legal staff (16:46)Reporting to the board (19:16)Implementing and tailoring training (21:24)Please note that all comments represent the opinions of the speakers and don't necessarily represent the opinions of their firms.Carol Goulding is a senior vice president with banking and securities industry experience concentrating on regulatory and compliance issues. She is currently the senior compliance manager for Wilmington Trust’s Wealth Division and is responsible for overseeing business policies and procedures to ensure compliance with regulatory and ethical sales practices. She holds several FINRA licenses as well as a Life, Accident and Health license.   Serina Shores is the senior vice president - chief compliance officer of Huntington Financial Advisors. She has over 23 years of experience in the industry in various roles. Prior to Huntington Financial Advisors, she served in multiple capacities at Washington Mutual’s WM Financial Services and JP Morgan Chase’s Chase Investment Services Corp. She is married and has two children and a running partner — Buster the Cavachon dog.BISA's Regulatory & Compliance Program serves as a resource for BISA member companies in an increasingly stringent regulatory environment. BISA partners with qualified firms to provide strategic insights and regulatory, compliance and risk management expertise through regular editorial content submission, training and education, conference programming and other monitoring and risk management information services that would benefit BISA members.  BISA accomplishes this through two yearly regulatory and compliance summits, one in the fall and one in the spring. Learn more about these events here. BISA members are also welcome to join the monthly Regulatory & Compliance Networking GrBISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. Visit the Portfolio content hubBecome a BISA member