Office Management

Brian M. Bookman

**** ******* ****** ***. *** § Alexandria, VA 22314 § 804-***-**** § **********@*****.*** Mortgage Operations / Back Office Operations / Financial Reporting and Analysis / Compliance Seasoned Capital Markets trading operation professional with over 20 years in the financial services industry. Results- driven professional with extensive experience and a consistent track-record of success in managing trading desk inventory, ensuring proper execution of transactions, reconciling position issues, leading teams, and exceeding business and personal performance objectives. Demonstrated acumen in assessing operational processes for compliance, testing, implementation, trade execution and settlement. Strong collaboration, persuasion, negotiating and relationship building skills. Driven by new challenges with a true propensity to initiate positive change. Career History

SunTrust Mortgage, Richmond, VA 2009 – Present

Business Systems Senior Analyst: Mortgage Business Information Office – Document Management

§ Assist in the business unit implementation of Compliance related mortgage documents in an agile environment. Develop project plans, determine scope, lead small projects and verify deliverables with key stakeholders.

§ Partner to determine the overall requirements gathering strategy. Assist in the requirements phase of the project including the work division strategy to be used in monitoring and controlling all identified risks throughout the requirements process.

§ Acts as the liaison among the stakeholders to elicit, analyze, document, communicate and validate business and system requirements using industry leading practices.

§ Develop and executes testing plans and validation routines to ensure new documents are implemented prior to compliance deadlines and ensure traceability to all requirements.

§ Maintains, aligns and executes change management process to address data specific changes to new or revised mortgage documents.

§ Manage the vendor relationship and coordinate various deliverables. Review and write procedures and oversee implementation and training.

§ Responsible for solving complex technical and operational problems during the testing phase. Interpret results and present findings and recommendation prior to integration.

§ Partner with other team members to facilitate the implementation and acceptance of new processes or procedures for the Document Management group.

Global Consultants, Inc. Morristown, NJ 2007 – 2009 Consultant: Wachovia National Bank, Charlotte, NC

§ Participated in the development of the iDeal system for Variable Rate Demand Notes (VRDN) by developing a controlled testing environment to ensure trades settle timely and accurately.

§ Coordinated with the Host system design engineer and platform developers to ensure trades entry notifications are being sent according to Fixed Income eXchange (FIX) protocol messaging specifications.

§ Developed test scripts in accordance to functional specifications, analyze findings, document conclusions, develop solutions and make recommendations.

§ Validated system enhancements after platform implementation through regression testing. Brian Bookman Page 2 of 3

§ Led efforts to assess the Compliance standards for the various system to ensure they met regulatory requirements.

§ Reviewed policies and procedures to ensure effective controls are in place to mitigate risk. Pragmatic Solutions, Inc. Annandale, VA 2006 – 2007 Consultant: Freddie Mac, McLean, VA

§ Assisted management in the Regulatory Reporting department with the monthly and quarterly Non- Mortgage Instruments (NMI) Review Process.

§ Ensured the derivative portfolio data submission tied to the general ledger via an automated reconciliation submission on a monthly and quarterly basis. Identified derivative balance sheet line items to ensure they were reported in the General Ledger accurately and timely.

§ Performed data quality checks using metrics reports, the OFHEO Ledger Code Summary Report, and General Ledger (GL) against various Freddie Mac systems (i.e. Atlas).

§ Verified the modeling guidance for Regulatory Reporting to ensure exceptions were properly disclosed to the OFHEO. Ensured NMI data submissions complied with the Office of Federal Housing Enterprise Oversight (OFHEO) instructions by running a series of reports via ReportWorks, a Freddie Mac owned system.

§ Reviewed policies and procedures to ensure effective controls are in place to mitigate risk. Wachovia Securities, LLC, Richmond, VA 2003-2006

Supervisor: Fixed Income Middle Office

§ Led a staff of seven full-time and temporary associates and seven temporary associates responsible for the reconciliation of the Fixed Income portfolio.

§ Liaised with the Head of Fixed Income Trading and StreetSide Operations Managers to identify enhancements to system applications such as Bond Desk and Beta. Improved the workflow surrounding ticket entry and trade breaks.

§ Managed department improvement initiatives that included exception based processing – Exception Item Management (EIM). Assisted in the development of the EIM application and ensured business requirements were developed to meet the needs of the Purchase and Sales department. Participated in User Acceptance Testing (UAT).

§ Prepared and reviewed daily and monthly journal entries, account reconciliations and management reports. Worked with affected business areas (Front Office, Trading, Accounting and Compliance) and external parties to ensure instrument/investments were priced and settled accurately.

§ Assisted Compliance with the management of all internal and external compliance audits and examinations.

§ Monitored changes to applicable federal and state laws, self-regulatory rules and regulations for the Fixed Income trading department within Compliance.

§ Performed compliance reviews of changes to policy and procedures and implementation plans for new regulatory requirements. Tracked and monitored the resolution of compliance issues.

§ Managed several firm-wide initiatives and projects for the Fixed Income trading group. Bysis Professional Services, Atlanta, GA 1999-2003 Consultant: McDonald Investments and Bank One

Syndicate Analyst, Middle Office

§ Provided advisory support to the client on key compliance issues and initiatives.

§ Led a staff of six associates in the Accounts Payable group responsible for the reconciliation of stocks and funds to retail accounts.

Brian Bookman Page 3 of 3

§ Worked with management to streamline the accounting control environment prior to the office consolidation/conversion.

§ Prepared management reports reflecting various degrees of discrepancies and possible solutions.

§ Reviewed and researched entries in the general ledger account to ensure accuracy prior to approval by Comptroller.

First Union Capital Markets, Charlotte, NC 1995-1999 Syndicate Analyst, Middle Office

§ Led a four-member team comprised of technical support and syndicate analysts in the development of a reporting system that condensed the tracking process for municipal bonds.

§ Performed account reconciliation and journal entries for municipal bonds.

§ Compiled and reported operational and financial information to the Accounting and Risk Management groups.

Education and Training

Virginia Union University Richmond, Virginia

Bachelor of Science – Business Administration and Finance Skills and Professional Training

• School of Mortgage Banking – Introduction to Real Estate Finance; TILA-RESPA Integrated Disclosure Training

• Leadership Development Seminars; Municipal Bond Seminars; NASD Workshops and Seminars (OATS and TRACE);

• Thomson BETA and SmartStation, BondDesk; Bloomberg, Atlas, ReportWorks; Exception Item Management

(EIM); iDeal

• Microsoft Access, Excel, Word, PowerPoint

Contact this candidate