Damon Alba Email & Phone Number

New York, Ny, Us

New York, Ny, Us

New York, New York, United States

• Provided compliance advisory support to Finance teams responsible for capital and financial reporting • Strong understanding of 15c3-1 Net Capital Requirements for Broker Dealers and CFTC 23.101 Financial Requirements for Swap Dealers• Constructed a rule mapping matrix that outlined the CFTC 23.100 capital requirements to relevant controls within Finance • Established a monitoring program by performing variance analysis on material swings of key capital metrics and coordinated with Finance to understand the underlying drivers • Project Odyssey: performed a firm wide analysis of 2nd line of defense coverage responsibilities and identified areas where additional compliance coverage was required • Acted as a liaison between the Regulators (SEC, FINRA, NFA, CME), relevant Finance groups and Legal in order to institute several billion dollars of subordinated debt agreements

• Provided compliance coverage across all of operations for 15c3-3 requirements• Managed a monitoring program that identified operational issues and analyzed potential downstream regulatory impact across all of operations• Performed control analysis by monitoring short selling activity and ensuring compliance with Regulation SHO 204 • Assisted the Regulatory Inquiries team by replying to FINRA and the NFA inquiries with prompt and accurate information

Jersey City, New Jersey

Livingston, New Jersey

Bedminster, New Jersey

• Assisted in promoting on-site sponsorships as well as inputs necessary for tournament set up• Participated in the facilitation and promotion of the New Jersey Golf Foundation• Worked in a team environment to assure a quality tournament experience• Utilized software necessary for tournament registration and scoring

Piscataway, New Jersey

• Adhered to University, Big Ten, Rutgers Athletics, and NCAA policies and procedures• Facilitated marketing tables during Football and Basketball games, University events, and other promotional outings• Conducted research to identify new marketing and fan experience opportunities• Developed and researched promotional ideas and events• Helped organize special events related to an assigned sport (Senior Night, Youth Day, Greek Night, etc.)• Tracked and documented monthly social media growth using excel spreadsheets and pivots

Piscataway, New Jersey