1. ROBERTO I. ALBA
Daly City, CA 94014
Phone: 415-405-5269
E-mail: ralba02@hotmail.com
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SUMMARY
Financial services professional with deep expertise in operational roles withinthe securities andbankingindustry. Strengths include the
ability to leverage experience combinedwith leadership andteambuildingcapabilities to achieve a successful trackrecordofimplementing
processingandsupport improvements. Detailedknowledge of corporate actions, domestic/international trade settlements, securities lending
andpricing. Capable of assessingandmitigatingrisk utilizingsecurities industry andmanagement experience. Excellent oral andwritten
communicationskills.
PROFESSIONAL EXPERIENCE
Redwood Mortgage Investors, San Mateo, CA 2015- Present
 Processednewinvestments.Communicatedanyissues to bothclient andmanagement for timelyresolution.
 Fielded client Service inquiries from investors, RIA’s and custodians.
 Organized marketing and sales materials assembly and mailing.
 Administered Transfer-of-account and re-registration requests.
 Handled account maintenance requests and requirements.
PENSCO Trust, San Francisco,CA 2011 - 2015
 Member of a project teamheadedby senior management that workedtoresolve agedandcomplexproblems for compliancewith
regulatory requirements. This also involves dealingwith anyescalated/emergency concerns that maythat havebeen earmarked
for immediate andextendedanalysis.
 Tracked, gatheredandorganizedPrivate Placement’s investment sponsor fundingconfirmations for newinvestments.
 Reconciliation/document updatingof over2,500maturednotes requiringasset revaluationofitems affectedby bankruptcy,
foreclosure, litigationandother factors.
 Current functions include investment transactionreview, cash processing, client support andresearchingLegacyissues from the
previous Innovest conversion.
D.M. Stone RecruitmentSolutions, San Francisco,CA 2010 – 2011
Senior consultant in brokerage operations. Clients includedPENSCO Trust, MellonCapital Management andThinkEquity Inc
 Assignments includedworkingin theDeposits group at PENSCO where theunit’s suspense account items were slashed
from over50 ageditems with a value of close to$700k to 12items worth35kuponhandoff.
 Helpedinitiate the loanservicerCornerstone’s transition froma physical checkprocess toan electronic environment.
 Processedtrades andsettlements.
Natixis Asset Management,Oakland, CA 2007 - 2009
Manager, Reconciliation/Transactions/Settlements
Managedthree operations units totaling15 full-time employees andthreetemporary staffmembers in a complex, risk-ladenSeparately
ManagedAccount environment.
 Providedan accurate, timelywithdrawal anddeposit transaction flowin a deadline driven atmosphere for25institutional clients
with over 1.5 billionin assets.
 Ensuredthat any settlement issues andany errors due to internal or external factors were reportedandcorrectedpromptly.
Reduced trade fail rate from45% to15%.
 Selectedto be part of a core group ofmanagers that met ona weekly basis to discuss process improvements, operational
initiatives andinter-department conflicts.
 Assistedin the data scrubbingandUAT testingonsystemconversions forover 30,000accounts.
 Fielded escalatedsponsor inquiries andparticipatedin theresolution ofissues in coordinationwith Client Service when needed.
 Administeredquarterlyandyearly staffevaluations.
Union Bank ofCalifornia, San Francisco, CA 2004 - 2007
HeldTeam Leader positions in the Securities ProcessingandGlobal Settlements units.
 Monitoredandmaintained the properlevel ofcollateralization for a cross section ofdomestic andinternational assets worthover
500 million dollars (equities, corporatebonds andtreasuries) out onloanwith different brokers. This process involvedclose
coordinationandcontact with over 30external brokers andcustodians as well as the internal corporate action, pricing,
administrative andtradingunits.
 Initiatedandorganizedthe movetoautomate manual tasks resultingin a 25% improvement in time efficiencies and better team
morale.
 Modifiedthe unit’s writtenprocedures to reflect current processes.
 Managedthe audit process by fieldinginquiries andrequests forboth internal andexternal examiners.Providedclarification or
resolution to any issues identified.
 Supervisedglobal trade andforeign exchange settlements utilizingSWIFT andGlobal Plus.

2. ROBERTO I. ALBA
Phone: 415-405-5269
E-mail: ralba02@hotmail.com
Corporate ConsultingServices, San Francisco, CA 2002 - 2003
Senior consultant in brokerage operations.
 Last assignment was with J.P. Morgan Chase in Dallas, Texas as an analyst processingcomplexvoluntarydomestic andinternational
corporateactions such as tenders, consents, exchange offers andbankruptcies utilizingthe SunguardGlobal Plus system.
 Enabledunit to achievea consistently clean cash/stock general ledger by contributinginput in procedures and introducingdaily
control reports which highlightedrisk areas.
 Mentoredless experiencedstaff members in thenuances of voluntary corporate actions, loweringrisk andliabilityfactors inherent in
the job. This resultedin a smooth turnoverof responsibilities once the assignment was finished.
 Organizedexistingwritten procedures into a more coherent instructionmanual that was utilizedby the department,other units and
senior management.
Zurich Scudder Investments, San Francisco, CA 2000 – 2002
Investment Services Division
Responsible for the total data integrityofthe various domesticandinternational data andpricing andcorporate action feeds utilizedby the
quantitativeresearch andportfolio management groups.
 Filtered, formattedanddistributedpertinent informationtothe database usingdiverse knowledge of the securities industry combined
with data gatheringandcleansingtechnical expertise.
 Updatedexistingdata cleansingprocedures with an emphasis on automatinglaborious manual tasks.
 Developedanddocumentedprocedures manual for datacleansingtomeet trainingandaudit requirements.
 Nurturedandmaintainedrelationships with the different data vendors resultingin a better understandingof thecompany’s needs
andreduced cost.
Barclays Global Investors, San Francisco, CA 1989 - 2000
 Data Analyst (3 years)
 Securities LendingOperations Supervisor (4years)
 Corporate ActionSupervisor (4 years)
SKILLS
 Capable of workingindependently, withlittlesupervisionor as a memberof a team.
 Familiaritywith various data vendors such as Bloomberg, Reuters, Factset, MSTC, Merrill LynchandIDC.
 Experiencedin information/requirement gatheringas well as user testing/validation.
 Documentation andprocess improvement.
 Proficient in MSWordandExcel.
 Familiaritywith systems such as Innovest,SunguardGlobal Plus, Global One, SEI, Loanet, SUMS, DTC, Innovest andEuroclear.
EDUCATION
Ateneo De Manila University Manila, Philippines
Bachelor of Arts, Communications
UC Berkeley Extension San Francisco,CA
Principles ofRelational Database Management
SQL Fundamentals UsingOracle andAccess
PL/SQL