Business Analyst Project Management

Christina Gaitan

Manalapan, NJ ************@***.*** 718-***-**** LinkedIn

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Change Management Business Analyst Project Management

Accomplished senior financial executive with over 18 years of experience in KYC, AML and Regulatory Client Onboarding project management. Leverage transferable skills to drive Change Management and provide consultative support in financial services industries. Possess experience in Front Office, Trade Lifecycle, Middle Office, and Back Office Securities from both an end user and service provider. Supported IT in a variety of consultative roles deploying new system implementations.

Professional Experience

Captivate Resumes, Manalapan, NJ

Owner & Coach: July 2023 – Present

Advise senior-level financial professionals on navigating their job search effectively, as well as provide tailored coaching on clear and effective communication, emphasizing executive presence.

Broadridge Financial Services, Inc., Newark, NJ

Consultant, Business Process Outsourcing: January 2023 – July 2023

Successfully onboarded twenty-five employees to support Barclay’s back-office operations for Fixed Income and Securities Lending providing strategic guidance on optimizing operational structure.

Supported Barclays by cleaning up aged fails, processing DTCC DK’s and all trade clearing issues in BPS/Gloss.

Developed comprehensive reconciliation procedure documentation for Stock loan and Equity aged fails.

Directed Ernst & Young consultants in developing oversight programs supporting regulatory compliance initiatives.

Merrick Bank, Inc., Remote Position

Consultant, PCI Regulatory Business Analyst: August 2022 – January 2023

Served as project manager for key IT initiatives within the Automated Operations Department, collaborating with stakeholders to define deliverables, set timelines, and regularly coordinate with the project manager to ensure project alignment and progress, as well as ensure compliance and governance.

Ensured systems were compliant with pertinent PCI/PAN sensitive data and client information.

Conducted extensive user acceptance testing following a large-scale data mapping project to verify the absence of sensitive client information on servers.

Broadridge Financial Services, Inc., Newark, NJ

Consultant, Implementation Lead: November 2021 – August 2022

Acted as the primary liaison between Broadridge and UBS, actively participating in Scrum calls, leading workstream projects, and identifying process inefficiencies for Gloss and Astrid systems.

Realigned after 3 weeks of being hired to lead the U.S. implementation of Astrid.

Ensured systems were enhanced with all US, APAC and EMEA regulatory requirements.

Oversaw extensive system testing in collaboration with technical teams, in addition to managing the run book during company-wide calls on behalf of the implementation team.

Credit Suisse, Remote Position

Consultant, CLM KYC/AML Regulatory Business Analyst: June 2021 – November 2021

Led implementation of Fenergo, an enterprise data management tool for KYC processing used globally in 35 countries across 19 business lines. Contract was extended and was offered full time engagement in Raleigh, NC.

Acted as liaison between technology and business end users. Documented all regulatory user stories for US, EMEA and APAC regions including FINRA rules 2111, FATCA, MiFID, EMIR and Dodd Frank.

Worked on storyboards specifically for automating AML risk ratings due to country of domicile, business line etc.

Barclays, Whippany, NJ

Global Markets Delivery Management – Post Trade Operations: September 2018 – June 2021

Acted as the primary liaison between Technology and Operations, leveraging expertise as both a Business Analyst and Project Manager to drive risk-aligned project execution.

Led high-impact initiatives, including the data migration of 10,000 Fixed Income clients, the deployment of a Fixed Income trade confirmation system, CTM system migration and electronic trading AML/KYC processing project.

Managed a complex German Fixed Income migration project, reducing balance sheet exposure by £124K.

Authored a best practices guide to standardize project management frameworks across global teams.

Developed a centralized defect log and implemented process guidelines to enhance operational efficiency.

Co-chaired Barclays' Internal Mobility Committee, spearheading two marquee events that increased internal hires by 18%, supporting talent retention with a focus on promoting women in leadership.

Societe Generale, New York, NY

PILOT Relationship Manager: December 2017 – September 2018

Served as the primary point of contact on the PILOT team for AML/KYC account set-up, compliance, and administrative tasks, directly managing relationships with top-tier Asset Managers, Hedge Funds, and CIB Clients.

Spearheaded remediation efforts for high-risk clients and transactions, identifying gaps and implementing corrective actions.

SMBC Capital Markets, New York, NY

Client Onboarding Team Lead: October 2015 – December 2017

Managed a team of twelve direct reports, in addition to supervising interns and contingent staff, conducting performance reviews, assisting with CAMS certifications and providing opportunities for professional development.

Successfully implemented Fenergo and ensured the efficient completion of firm-wide AML/KYC and Client Onboarding requests across all Capital Markets products.

Conducted periodic review, Enhanced Due Diligence and AML risk ratings for all clients in the onboarding queue.

Documented the Desktop Procedure, a regulatory framework to support regulatory client onboarding within 3 months of being hired. Enhanced the Dodd Frank checklists and Markit user guide.

Led Anti-Money Laundering (AML) compliance projects, ensuring adherence to regulatory requirements such as Bank Secrecy Act (BSA), USA PATRIOT Act, OFAC, and FINCEN guidelines.

Barclays, New York, NY

CLM IT Business Analyst: November 2014 – October 2015

Assisted with implementation of PEGA Client Lifecycle Management (CLM) PRPC tool to address Financial Crime and Regulatory Due Diligence. Conducted enterprise data analysis and transformation.

Served as an SME for FINRA Regulatory rules 2111 and FATCA.

Developed high-impact storyboards and use cases to deploy the Client Onboarding System; served as the UAT liaison for IT development, project status reporting, and communications/daily calls.

Tradeweb Markets LLC. (a Reuters and Market Data subsidiary), New York, NY

AVP, Swap Execution Facilities (SEF): November 2013 – September 2014

Cultivated and managed relationships with buy-side firms to develop software development APIs, collaborating closely with clients to understand their needs and optimize system workflows.

Mizuho Securities USA Inc., New York, NY

Operations, Head of New Accounts: April 2007 – November 2013

Gained comprehensive knowledge and experience in institutional securities through 4 promotions within 6.5 years.

Managed FTEs, interns, and 30+ internal/external systems including all Broadridge products.

Oversaw AML/KYC Onboarding and referential data quality management for FI, EQ and Sec Lending businesses.

Designed a centralized New Accounts Department, improved efficiency, staffing, training, and operational quality.

Led 2 conversions including the Impact/BPS/INA integration project and launched Global Salesforce Initiative.

Handled migration from ION trading to Bloomberg TOMS, two institutional trading systems.

Acted in a Chief of Staff capacity to the COO of Operations.

Assisted in migrating firm from custodian clearing to self-clearing, setting up depots with DTCC, BONY and JPM.

Regarded as the Gatekeeper for third-party electronic trading platforms;ensured reference data for sales/account coverage and trading books were accurate to eliminate trade breaks.

Transitioned FI Division to TOMs Bloomberg OMS from ION to help support MBS securities trade processing.

Additional Technical Skills

Microsoft 365 Suite, LexisNexis, Factiva, Dow Jones, JIRA, Salesforce, Broadridge (BPS, Impact, GLOSS, INA) Global 1, Loanet, Helix, BONY Nexem, Bloomberg Terminal, MarkitAxess, Tableau, OMS, Net X 360, DTCC, Intellimatch, Qlikview, OATS, HP Quality Centre, Bloomberg TOMs, Confluence, DocuSign, SAP, Sophis

Education & Licensure

Grand Canyon University, Pheonix, AZ CUNY – College of Staten Island, Staten Island

Master’s in Business Administration: Expected Graduation 2026 Bachelor of Arts, Business Management

FINRA Series 99 & FINRA SIE (active)

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