Avp, Project Manager
Current
Sep 2024 - Present
AeroLeads people directory · profile
Mandy B. Email & Phone Number
AVP, Project Management
at
LPL Financial
1 work email found
@lpl.com
1 phone found area 757
LinkedIn matched
✓ Verified May 2026
4 data sources
Profile completeness 100%
Current company
Role
AVP, Project Management
Location
Greater Houston, United States, United States
Who is Mandy B.? Overview
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Quick answer
Mandy B. is listed as AVP, Project Management at LPL Financial, based in Greater Houston, United States, United States. AeroLeads shows a work email signal at lpl.com, phone signal with area code 757, and a matched LinkedIn profile for Mandy B..
Mandy B. previously worked as AVP, Project Manager at Lpl Financial and AVP, Business Management at Lpl Financial. Mandy B. holds J.D., Law from Charleston School Of Law.
Company email context
Email format at LPL Financial
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*@lpl.com
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Profile bio
About Mandy B.
Results-driven Compliance Leader with a proven track record in navigating complex regulatory environments within the financial industry. Expert in ensuring adherence to laws and regulations, managing risk, and driving process improvements. Adept at fostering cross-functional collaboration and leveraging insights to enhance organizational compliance and operational efficiency. Passionate about translating regulatory requirements into actionable strategies that support business objectives and safeguard against compliance risks.
Listed skills include Legal Research, Banking, Legal Writing, Mortgage Banking, and 40 others.
Current workplace
Mandy B.'s current company
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10 roles
Mandy B. work experience
A career timeline built from the work history available for this profile.
Avp, Business Management
- Ensured business readiness by communicating recent changes to teams, enhancing client and team alignment.- Built and maintained client relationships through effective communication and support, boosting client satisfaction.- Created and led the Mentorship Program within the business unit.- Captured and analyzed client feedback through surveys, meetings.
Jul 2022 - Sep 2024
Avp, Policy Management
- Monitored state and federal regulatory changes, analyzed impacts with experts, and implemented necessary policy updates.- Oversaw the Policy on Policies process for regulatory compliance across the firm.- Managed the monthly Compliance newsletter, updating policies and procedures for advisors and staff.- Provided reports and analysis on regulatory.
Apr 2021 - Jul 2022
Senior Analyst, Policy Management And Regulatory Changes
- Tracked and addressed regulatory changes in financial services with subject matter experts.- Published the Advisor Compliance Manual and Written Supervisory Procedures quarterly.- Updated policies and procedures in collaboration with business units based on regulatory and firm updates.- Participated in committees focused on company and remote employee.
Sep 2018 - Apr 2021
Compliance Manager
- Contributed to independent compliance oversight activities.- Conducted quarterly compliance training on state and federal regulations for new hires.- Created, updated, and managed Compliance Program policies and procedures to prevent misconduct.- Oversaw daily operations of the Compliance Management System.- Applied knowledge of compliance concepts.
Mar 2018 - Aug 2018
Assistant Director, Licensing & Reporting / Compliance Manager
- Directed a team of six in launching 300+ new branch locations within a year.- Coordinated with Executive Management, Accounting, Legal, and HR on key projects.- Oversaw annual renewals, ensuring compliance for 2,700+ individuals, 700 branches, and 65 licenses.- Ensured adherence to state and federal mortgage licensing requirements, managing compliance.
Oct 2016 - Jan 2018
Regulatory Reporting And Examinations Manager
- Managed regulator exams, including pre-exam preparation, serving as the main contact, and overseeing post-exam follow-up.- Drafted responses to state regulatory inquiries about company policies, procedures, and origination activities within deadlines.- Reviewed regulatory requirements to ensure accurate responses to state regulators.- Collaborated with.
Jun 2016 - Oct 2016
Licensing Coordinator
- Submitted state license applications and updates via NMLS.- Provided documentation for state examinations and managed annual renewals.- Updated management on license statuses and enrolled loan originators in required education.- Maintained up-to-date knowledge of state licensing requirements.
Apr 2016 - May 2016
Compliance Specialist
- Managed mortgage licensing and renewals for the company, branches, and loan originators across 49 states.- Enrolled loan originators in required pre-licensing and continuing education.- Facilitated quarterly and monthly call reports to NMLS and state regulators.- Prepared and submitted state regulatory filings for licenses and updates.- Conducted.
Jul 2014 - Mar 2016
Mortgage Litigation Reviewer
Synergy Legal Staffing (With Huron Consulting Group)
- Reviewed electronic documents for litigation discovery for Fortune 500 companies, primarily in banking.- Conducted quality control and assurance for a team of 5-10 staff members.- Reviewed documents originating from requests from SEC and bank regulators (OCC, OTS, FRB) for compliance with policies and mortgage servicing issues.- Evaluated documents.
Nov 2009 - Jul 2014
2 education records
Mandy B. education
J.D., Law
Charleston School Of Law
Ba, Political Science
Winthrop University
FAQ
Frequently asked questions about Mandy B.
Quick answers generated from the profile data available on this page.
What company does Mandy B. work for?
Mandy B. works for LPL Financial.
What is Mandy B.'s role at LPL Financial?
Mandy B. is listed as AVP, Project Management at LPL Financial.
What is Mandy B.'s email address?
AeroLeads has found 1 work email signal at @lpl.com for Mandy B. at LPL Financial.
What is Mandy B.'s phone number?
AeroLeads has found 1 phone signal(s) with area code 757 for Mandy B. at LPL Financial.
Where is Mandy B. based?
Mandy B. is based in Greater Houston, United States, United States while working with LPL Financial.
What companies has Mandy B. worked for?
Mandy B. has worked for Lpl Financial, Wyndham Capital Mortgage, Movement Mortgage, Cardinal Financial Company, Limited Partnership, and Synergy Legal Staffing (With Huron Consulting Group).
How can I contact Mandy B.?
You can use AeroLeads to view verified contact signals for Mandy B. at LPL Financial, including work email, phone, and LinkedIn data when available.
What schools did Mandy B. attend?
Mandy B. holds J.D., Law from Charleston School Of Law.
What skills is Mandy B. known for?
Mandy B. is listed with skills including Legal Research, Banking, Legal Writing, Mortgage Banking, Customer Service, Microsoft Office, Courts, and Finance.
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