Mandy B. Email & Phone Number

San Diego, Ca, Us

San Diego, Ca, Us

- 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, and focus groups to drive improvements.- Collaborated with cross-functional teams to convert customer insights into actionable strategies.- Utilized feedback tools and platforms to enhance data collection and analysis, improving accuracy and response rates.- Designed and managed the feedback tracker and call log system, ensuring accurate and up-to-date records for ongoing analysis and improvement.

San Diego, Ca, Us

- 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 impacts and policy updates to support strategic compliance improvements.- Led multiple department projects and initiatives.- Co-led the Diversity, Equity, and Inclusion committee, focusing on communication and engagement.- Co-led the mentorship program, handling training, programming, and mentor-mentee pairing.- Advanced from Senior Analyst to Assistant Vice President.

San Diego, Ca, Us

- 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 engagement.

Charlotte, North Carolina, Us

- 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, practices, and relevant laws.- Promoted a culture of compliance by identifying, escalating, and mitigating risks.- Communicated regulatory changes and guided business leaders on compliance integration.- Identified, reported, and escalated compliance risks and improvements.- Executed governance routines and management processes.- Assessed training needs, supported curriculum development, and monitored third-party training.- Assisted in preparing for regulatory exams and audits.- Managed mortgage licensing, investor audits, policy updates, and consumer complaints.- Addressed consumer security and privacy breaches.- Reviewed team deliverables to ensure consistent quality and compliance.- Acted as an independent body to evaluate, investigate, and resolve compliance issues.

Fort Mill, Sc, Us

- 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 and risk.- Conducted audits and reviews to align licensing practices with evolving regulations.- Provided expert advice on licensing and compliance to branches and loan originators.- Collaborated with regulatory agencies to resolve licensing issues efficiently.- Managed licensing documentation and record-keeping for audits and regulatory reviews.- Developed and maintained a system for tracking licensing statuses and renewal deadlines.- Negotiated with state regulators to streamline licensing processes and address compliance challenges.

Fort Mill, Sc, Us

- 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 business units to address issues and resolve findings from regulatory examinations.- Prepared and submitted responses to regulatory examinations.

Fort Mill, Sc, Us

- 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.

Charlotte, Nc, Us

- 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 periodic reviews for licensing accuracy and reported findings to senior management.- Addressed deficiencies and licensing questions with state regulators.- Reviewed and interpreted regulations related to licensure and compliance.- Advised senior management on state examination findings and licensing statuses.- Oversaw external licensing audits, including state examinations.- Completed and submitted the annual HMDA report.

- 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 related to mortgage defaults, foreclosures, securitizations, and due diligence in residential mortgages.

J.D., Law

Ba, Political Science