Dima Taneja
Compliance Manager
Results-driven Compliance Manager with extensive experience in regulatory compliance, trade surveillance, AML and financial operations. Seeking to leverage
expertise in risk management, regulatory adherence, and process optimization to drive compliance excellence and strengthen governance frameworks. Adept
at implementing compliance programs, mitigating risks, and ensuring seamless adherence to evolving financial regulations.-
-
Dima Taneja | LinkedIn
Profile Summary
Results-driven Compliance Manager with over 12 years of experience in regulatory compliance, trade
surveillance, financial operations, and risk management within the banking and investment management
industries.
Core Competencies
Regulatory Compliance (SEBI, RBI, FPI,
AML, KYC, FATCA)
-----------------------------------------------------------------------------------------------
Trade Surveillance & Communication
Surveillance
-----------------------------------------------------------------------------------------------
Investment & Personal Trading
Compliance
-----------------------------------------------------------------------------------------------
Risk Management & Governance
-----------------------------------------------------------------------------------------------
Regulatory Reporting & SEC Audit
Management
-----------------------------------------------------------------------------------------------
Policy Development and
Implementation
-----------------------------------------------------------------------------------------------
Liaisoning with Regulatory Authorities
-----------------------------------------------------------------------------------------------
SLA & KPI Optimization
-----------------------------------------------------------------------------------------------
Process Improvement & Operational
Efficiency
-----------------------------------------------------------------------------------------------
Work Experience
Adept at ensuring adherence to global regulatory frameworks, managing compliance monitoring programs,
and liaising with regulatory authorities.
Strong expertise in investment compliance, trade monitoring, communication monitoring, and internal
policy implementation.
Currently pursuing Executive Programme in Artificial Intelligence and Cyber Security for Organizations
(EPAI&CSO) from IIM Indore to enhance expertise in AI-driven risk management and cybersecurity strategies.
Education
Executive Programme in Artificial Intelligence and Cyber Security for Organizations – IIM Indore (Ongoing)
Master of Commerce (63%) – Mumbai University, 2011
Bachelor of Commerce (75%) – Sydenham College, Mumbai University, 2009
o College topper in Taxation and Economics
Institute of Company Secretaries of India (ICSI)
o Completed Intermediate Examination (June 2012)
o Cleared two groups of Final Examination (June 2014)
Information Technology Topper – Brain Point Institute, 2009
Licenses and Certifications
ChatGPT Masterclass: Prompt Engineering Guide – Coursiv- Completed April 2025
Millennium Management | Compliance Manager – India |June 2016 – Present
Millennium is a global alternative investment management firm managing over $68 billion in assets, employing diverse investment strategies across industries, asset
classes, and geographies.
Significant Highlights:
Lead end-to-end regulatory compliance function for India operations, ensuring adherence to SEBI, RBI, and global regulatory standards.
Conduct trade surveillance and monitor Foreign Portfolio Investor (FPI) limits, ensuring compliance with investment restrictions.
Oversee personal trading activities of portfolio managers, maintain a restricted securities list, and implement insider trading prevention measures.
Perform electronic communication surveillance to detect potential compliance breaches and market abuse.
Handle trade queries, regulatory reporting, and compliance certifications, ensuring timely risk assessments and regulatory submissions.
Develop, implement, and revise compliance procedures and policies in alignment with evolving regulatory landscapes.
Liaise with regulatory authorities, manage regulatory audits, and ensure seamless communication for compliance enhancements.
Address compliance breaches by initiating investigations, root-cause analysis, and remediation plans to mitigate risks effectively.
Standard Chartered Bank | Jan 2011- Jun 2013
Manager – Client Services (Sep 2012 – May 2013)
Significant Highlights:
Assisted Private Bankers in managing high-net-worth client portfolios across multiple asset classes.
Ensured adherence to AML and KYC regulations under Indian regulatory frameworks, supporting compliance with the PMLA Act, 2002.
Resolved transaction monitoring alerts by liaising with internal compliance and transaction monitoring units.
Supported the preparation of compliance documentation and contributed data inputs for internal audits and board-level reporting on AML/CFT
status.
Facilitated onboarding of NTB (New-to-Bank) clients with full KYC/AML documentation and internal screening checks.
Provided critical support in accessing and maintaining resources required for AML compliance and risk control
Manager – Mid-Office Operations (Jan 2011 – Aug 2012)
Significant Highlights:
Scrutinized and processed KYC and account opening documentation for new-to-bank (NTB) clients, ensuring compliance with regulatory norms.
Conducted due diligence on high-value investment transactions in mutual funds, bonds, derivatives, and alternative investments.
Implemented email surveillance for inappropriate investment advice and unauthorized transactions to detect potential compliance breaches.
Reported investment transactions to Investment Services Surveillance Officer (ISSO) for suitability and appropriateness assessments.
Managed fraud investigations and maintained compliance logs for debit and credit card transactions of Private Banking clients.
Conducted internal email surveillance for unauthorized communication and possible AML/CFT breaches
Coordinated with compliance and risk teams for maintaining internal logs, audit readiness, and regulatory reporting support.
R.P. Import and Export Ltd | Admin Executive | Aug 2009 – Dec 2010
Significant Highlights:
Managed supplier and vendor payments, import remittances, and export documentation.
Handled RTGS transactions, bank account operations, and statutory payments.
Assisted in process optimization and implementation of improved financial workflows.
Soft Skills
Strong analytical mindset with exceptional attention to detail
Strategic thinking and decision-making under regulatory pressure
Effective communication and stakeholder management across global teams
Resourceful with a focus on cost efficiency and process optimization
Proven ability to perform under tight deadlines and high-pressure situations
Commitment to continuous learning, innovation, and professional development
Tech-savvy, with growing expertise in AI, cybersecurity, and digital tools
