Open to opportunities

DT T

@dtt

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Compliance Manager driving SEBI/RBI regulatory compliance, surveillance, and risk governance in banking.

India

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What I'm looking for

I’m looking for a Compliance Manager role where I can own SEBI/RBI compliance, trade & communication surveillance, personal trading controls, and audit readiness—collaborating with stakeholders to strengthen risk governance while continuously improving operational excellence.

I’m a Compliance Manager with 12+ years of experience building and operating regulatory compliance programs across banking and investment management. I focus on SEBI/RBI/FPI frameworks, personal trading compliance, insider trading prevention, and audit management—turning regulatory requirements into practical controls.

In my current role, I monitor and review trading activity for potential market abuse, manipulative behaviour, and regulatory violations using surveillance tools. I investigate alerts, escalate issues to stakeholders, maintain position monitoring against exchange and regulatory restrictions, and support ongoing reviews and an annual compliance audit plan.

Previously, I led India regulatory compliance for SEBI, RBI, and global mandates, including trade surveillance and FPI limit monitoring. I enforced personal trading controls with restricted lists, implemented insider trading prevention protocols, and conducted electronic communication surveillance to identify potential market abuse, while partnering with regulators for audits and enhancements.

I’ve also supported compliance operations in client-facing and operations roles—managing AML/KYC documentation for NTB onboarding, resolving transaction monitoring alerts, and preparing audit-ready compliance documentation. I bring a continuous-learning mindset, strengthening my compliance toolkit with AI & cybersecurity training and practical proficiency in trade surveillance systems, reporting tools, and compliance software.

Experience

Work history, roles, and key accomplishments

Current

Compliance Manager

Current

Apollo Cloud Services LLC

Sep 2025 - Present (10 months)

Monitors trading activity for potential market abuse and regulatory violations, investigates alerts, and escalates issues to relevant stakeholders. Maintains compliance policies, supports compliance audit planning, and prepares documentation for internal and external audits.

Trade Surveillance Regulatory Compliance Regulatory Reporting Policy Development Compliance Audits Stakeholder Management

Admin Executive

R.P. Import & Export Ltd

Aug 2009 - Dec 2010 (1 year 4 months)

Handled import/export documentation and supported vendor payments and RTGS transactions. Assisted with banking operations and financial workflow optimization.

Import export documentation RTGS Banking Operations Workflow Optimization

Manager - Mid-Office Operations

Standard Chartered Bank

Ensured AML/KYC compliance under Indian PMLA 2002 and supported internal audits through resolution of transaction monitoring alerts. Facilitated NTB client onboarding with compliance documentation and conducted due diligence for investments, while coordinating fraud investigations and internal email surveillance for unauthorized advice.

AML KYC Compliance PMLA Transaction Monitoring NTB Onboarding Due Diligence Mutual Funds Derivatives Fraud Investigation Audit Readiness

Compliance Manager

Millennium Management

Led India regulatory compliance covering SEBI, RBI, and global mandates. Oversaw trade surveillance, FPI limit monitoring, personal trading controls, and electronic communication surveillance, and supported audits and regulatory reporting.

Regulatory Compliance Trade Surveillance FPI Limit Monitoring Personal Trading Compliance Restricted List Management Regulatory Reporting Audit Management remediation

Client Services Manager

Standard Chartered Bank

Led client servicing operations for high-net-worth individuals, acting as a single point of contact between clients and internal teams. Supported onboarding of NTB clients with KYC/AML documentation, handled transaction monitoring escalations, and prepared audit-ready compliance documentation and board-level reporting for AML/CFT initiatives.