Mandy Vincent Email & Phone Number

Home Based

Wilmington, Delaware

As a Project Manager with CMC, I am responsible for managing multiple concurrent client project deliveries including scope, schedule and budget management. Leveraging an agile methodology to plan, resource and collaborate with diverse cross functional teams, I have participated in the successful deployment of credit life-cycle software for top international banks.

Wilmington, Delaware

Best Buddies Delaware is a state affiliate of Best Buddies International, a non-profit organization focused on social inclusion for students and adults with intellectual and developmental disabilities. Although my main function was programs and volunteer managemnt, I also participated in special projects, training, grant writing, and event coordination. * Increased program participation by over 50% in under 2 years and increased event attendance by as much as 560% * Developed and delivered a series of skills trainings to particpants including interpersonal communication and networking, social media and online safety, and financial literacy * Authored nearly a dozen grant proposals, including budgets, over half of which were successfully funded. Subsequently, completed reporting to the funding foundations detailing the use of funds.

The Down Syndrome Association of Delaware is a volunteer parent run non-profit organization. In 2010 I was contracted to focus my project management and team management experience to manage thier website and member database, coordinate parent education meetigs and group events and develop promotional and marketing materials and schedule.

As a freelance compliance consultant, I utilized extensive knowledge of securities industry rules, regulations and laws to perform compliance review of electronic communications, evaluate potential compliance risks and suggest mitigating actions, document and report identified issues and recommendations to leadership remediation

NSLLC, a dually registered retail broker-dealer and investment advisor firm, was created in 2008 as the result of the merger of two Nationwide Mutual Life Insurance subsidiary broker-dealers, 1717 Capital Management Company and Nationwide Securities, Inc., and later relocated positions to the Columbus, OH home office in 2009. * Managed a team of compliance professionals responsible for development and distribution of compliance communications, maintenance of written supervisory procedures manuals, development of annual compliance meeting content, testing of supervisory controls and process documents, coordination of regulatory examinations, and compliance review of selling agreements * Provided compliance support and advice to business partners of 5 regulated entities including a retail broker-dealer, registered investment adviser, 2 insurance companies, and a general insurance agency * Proactively tested processes and controls to identify potential areas of risk and mitigating actions * Conducted compliance audits of registered branch office locations to identify and mitigate areas of risk * Designated department lead for the inter-departmental initiative to enhance and align matter management (e.g. documentation and reporting of metrics and project tracking) * Performed critical analysis of proposed and enacted rules, regulations and laws to provide practical interpretations and recommendations to senior leadership to ensure continued compliance * Advocated on behalf of the industry and firm in person as a member of the Financial Services Institute and through collaborative comment letters with various trade organizations

Newark, De

As the Project Manager for the Compliance Department, I was responsible for coodination of over 100 Compliance Department and interdepatmental progcts over 3 years including coordination of all broker dealer and investment advisor firm regulatory audits.* Oversaw department projects by identifying needs, assigning personnel, developing project plans, tracking and documenting status and elevating issues as needed * Selected by senior leadership to provide compliance support during the merger of two affiliated retail broker-dealer firms and physical transition of the combined broker-dealer operation to Dublin, OH * Assisted in development and delivery of compliance training to the firms’ registered representatives * Created and compiled compliance materials for delivery by senior leadership to the Board of Directors * Successfully coordinated 5 regulatory exams in one year acting as liaison between internal business partners and examiners from various FINRA and SEC district offices * Quickly promoted from Sr. Compliance Analyst to Compliance Specialist in 2006

Wilmington Trust, a Delaware based financial services organization for over 100 years, provides customized financial alternatives for three core lines of business: wealth advisory, corporate client, and regional banking services. Financial Services Officer, Account Closing Unit Supervisor, Corporate Client Development* Represented the Corporate Client Development division in the development and realization of a pilot unit charged with pre-acceptance review and risk-rating of incoming corporate trust business * Actively participated in the acquisition, management and professional development of staff members * Created, implemented, and periodically revised the detailed Account Closing Unit Procedures Manual * Critically reviewed, cataloged, and distributed documentation for incoming registered transfer agent business in accordance with internal and external audit and regulatory guidelines * Performed monthly reconciliations to ensure accurate reporting to the Depository Trust Company * Cultivated and maintained quality relationships with internal personnel and external legal counselAccount Administrator III* Appointed team leader on multiple committees charged with the testing and streamlining of policies and procedures to create a smooth company-wide transition to a new trust system * Participated on strategic business line development teams responsible for implementing new risk and compliance procedures in the Corporate Retirement Services division * Researched outstanding issues and suggested corrective actions to reconcile accountsSenior Recordkeeping AnalystWilmington Trust Company chose to divest the retirement plan recordkeeping business in 2001 at which point I transitioned to the Corporate Retirement Services division.*Utilized basic knowledge of defined contribution plans to process payroll contributions, rollovers, transfers, loan issues, and distributions on the OMNI Plus record keeping system

Newport, Delaware

National Plan Coordinators, a respected retirement plan administrator of small to medium sized 457, 403b and 401k plans, was acquired and absorbed by Great West Life and Annuity in 2000. I was appointed by senior leadership in 1999 to coordinate the smooth transition of the firm's existing portfolio to Great West Life and Annuity. Transition Coordinator:* Successfully transitioned all accounts, processes and documentation to new firm * Fielded and promptly addressed participant and client inquiries throughout the operational transitionValuations Specialist:* Accurately reconciled mutual fund and fixed interest omnibus accounts containing over $105 million * Successfully processed all aspects of participant contributions including daily payrolls and the production of over 20 thousand statements quarterly

Mba, Executive Mba Program

Ba, Psychology, Minor Biology