Devi Gooneshwaree (Vandana) BABBO
Quatre Bornes
Summary
Compliance Analyst with apromix 4 years of experience ensuring adherence to policies, procedures, and regulatory standards. Skilled in risk assessment, process improvement, and audit support, with proven ability to identify gaps, implement corrective actions, and enhance operational efficiency. Recognized for strong analytical skills, positive attitude, high team spirit, attention to detail, and clear communication across all levels.
Overview
9
9
years of professional experience
Work History
SENIOR EXECUTIVE - REGULATORY & COMPLIANCE
IQEQ Global Business
PORT LOUIS
01.2025 - Current
- Ensure that all regulatory approval are received and followed up with regulatory bodies
- Ensure that the AML/CFT framework for specific clients adhered to;
- Conduct Client file reviews for the purpose of ACR or special investigation;
- Prepare Administrators Compliance Report (ACR) for review by Associate Manager/ Senior Manager
- Assist in the preparation of Periodic Reviews
- Assist the Associate Manager/ Senior Manager to conduct Client file review or investigation;
- Assist in conducting AML/CFT risk assessments of all products of client companies, as appropriate;
- Conduct Due Diligence and World check/ Internet checks for clients/ file reviews
- Work on Compliance Monitoring Report
- Work on compliance issues leading to disengagement of clients
- Ensuring a regular compliance follow up on the files and the effective implementation of reviews.
- Checking the completeness of due diligence documents of clients.
- Assisting in the pre-visit preparation and onsite visit of regulators.
- Conducting any other cognate duties as assigned by reporting line.
- Ensuring data of reports are duly maintained and saved on applications
- Be up to date with and ensure compliance with the various regulations and regulatory agencies
- Ensuring new joiner are trained and received appropriate knowledge on the working environment – Act as ‘’buddy’’
- Assist in improving CDD applications/ tracker that are put in place in the department ( ACR/PR tracker, CDD tracker)
- Ensuring CDD’s are up to date – Engaged in the CDD’s remediation exercise.
- Execute Bank Transaction Monitoring (BTM) by analyzing bank statements, focusing on large, suspicious, or repeated transactions to assess financial integrity
Executive - Regulatory & Compliance
IQEQ Global Business
PORT LOUIS
08.2021 - 12.2024
- Conduct file reviews, including PR and ACR to ensure compliance with regulatory standards.
- Perform Customer Due Diligence (CDD), enhanced due diligence (EDD), Simplified Due Diligence (SDD) and screening of clients using World-Check and internet checks to identify potential risks.
- Coordinated cross-functional teams to deliver high quality results within tight timelines.
- Investigate adverse hits during screening, conducting in-depth research to either confirm or discount findings.
- Execute Bank Transaction Monitoring (BTM) by analyzing bank statements, focusing on large, suspicious, or repeated transactions to assess financial integrity.
- Prepare PR and ACR reports, ensuring compliance with relevant regulations and documenting key findings related to client status.
- Ensuring that all regulatory appovals are processed and up to date
- Preparing re-assessmemt reports for the AML/CFT and Corporate Governance frameworks for specific client and Code of Business Conduct
- Work under the supervision of the Associate Manager/ Manager
KYC/OCM ANALYST
CITCO
EBENE
07.2019 - 07.2021
- Handled Fircosoft alerts, investigations, and PEP screenings while maintaining accurate client data in Viewpoint.
- Supported the KYC/AML Manager and Central KYC Team with high-risk approvals, periodic reviews, and process standardization.
- Conducted due diligence and screenings using Google and World-Check, completed risk scoring, and reviewed client documentation to ensure regulatory compliance.
- Discounted adverse media hits
CUSTOMER REFRESH OFFICER
Barclays Bank
EBENE
07.2017 - 06.2019
- Worked at Absa Bank in Financial Crime Operations, vetting diverse client profiles, conducting adverse media screenings, and reviewing KYC documentation for compliance with regulatory standards.
- Collaborated with the Business Banking Team, completed risk assessments, and ensured client files met due diligence requirements through reviews, risk scoring, and direct client engagement.
- Approached customers and engaged in conversation through use of effective interpersonal and people skills.
- Assisted with customer requests and answered questions to improve satisfaction.
INTERNSHIP TRAINER
DSL Chambers
06.2016 - 08.2016
- Company Overview: Mini Pupillage
- Attended hearings as a representative of corporate entities and firm clients, while conducting in-depth legal research and drafting contracts, agreements, and proposals.
- Interpreted laws, rulings, and regulations for both individuals and businesses, and analyzed probable case outcomes by applying knowledge of legal precedents.
- Mini Pupillage
Education
BA - Law and Criminal Justice
UOM
Distinction in ICT Specialist - Productivity Tool - Wisdom & Tech
HSC -
Skills
- Interpersonal Communication
- Time Management
- Effective Communication
- Attention to details
- Positive attitude
Hobbies and Interests
- Dancing
- Hiking
- Reading
Extracurricular Activities
Rotaract Club of Quatres Bornes, Member
Volunteer Experience
PSOS Children's Villages Mauritius, 07/16 to 08/16, Assisted with administrative tasks, handling calls, files, and mail., Maintained and updated student and employee records confidentially.
Timeline
SENIOR EXECUTIVE - REGULATORY & COMPLIANCE
IQEQ Global Business
01.2025 - Current
Executive - Regulatory & Compliance
IQEQ Global Business
08.2021 - 12.2024
KYC/OCM ANALYST
CITCO
07.2019 - 07.2021
CUSTOMER REFRESH OFFICER
Barclays Bank
07.2017 - 06.2019
INTERNSHIP TRAINER
DSL Chambers
06.2016 - 08.2016
BA - Law and Criminal Justice
UOM