Renee Finney
Rayland,OH
Summary
Reliable business professional with experience in regulatory and firm compliance policy in the financial industry. Proven track record of proactively identifying risk and policy concerns. Adept at analyzing data to identify trends and developing strategies to mitigate exposure.
Overview
22
22
years of professional experience
1
1
Certification
Work History
Divisional Governance Specialist
Wells Fargo Advisors
02.2018 - Current
- Perform ongoing regulatory, compliance and operational reviews
- Mitigate compliance escalations flagged from trade blotter and monthly reports
- Review compliance systems and reports and communicate findings to manager
- Perform Top 15 and proactive account reviews
- Collaborate and consult with client associates, financial advisors, branch managers, supervisory principals, and market management
- Review and approve account updates
- Process complex transactions and perform research to resolve complex customer issues
- Educate market on new compliance policies
- Review correspondence
Sr. Registered Client Associate
Wells Fargo Advisors
05.2017 - 02.2018
- Receive and enter trade orders from clients
- Share new operational policies and procedures with the team
- Client Associate duties as outlined below
Client Associate
Wells Fargo Advisors
03.2007 - 05.2017
- Establish and service client accounts
- Research account inquiries and/or issues
- Maintain Contact Management database
- Maintain files to meet the firm’s regulatory requirements
Administrative Assistant – Medical Research Technologies Program
West Virginia High Technology Consortium Foundation
08.2005 - 03.2007
- Prepare and track Program related travel arrangements, expense reports and check requests
- Assist in writing of technical briefs to be posted on website
- Maintain internal Program database
- Prepare promotional materials for distribution
Staff Accountant - National Technology Transfer Center
Wheeling Jesuit University
12.2001 - 08.2005
- Verify accuracy of electronic timesheets
- Reconcile Federal draw-down bank account
- Prepare and submit accounts receivable invoices for various Federal and commercial clients
- Verify project/account numbers, enter accounts payable vouchers, and prepare checks for Federal and commercial accounts
- Track and compile 1099 information
Education
Associate degree - Accounting
Jefferson Technical College
Steubenville, OH01.1992
Skills
- Make timely and independent judgment decisions
- Strong attention to detail and accuracy
- Strong verbal, written, and interpersonal communication
- Ability to negotiate and facilitate issue resolution
Certification
- FINRA Series 9/10
- FINRA Series 7
- FINRA Series 66
References
Available upon request
Timeline
Divisional Governance Specialist
Wells Fargo Advisors
02.2018 - Current
Sr. Registered Client Associate
Wells Fargo Advisors
05.2017 - 02.2018
Client Associate
Wells Fargo Advisors
03.2007 - 05.2017
Administrative Assistant – Medical Research Technologies Program
West Virginia High Technology Consortium Foundation
08.2005 - 03.2007
Staff Accountant - National Technology Transfer Center
Wheeling Jesuit University
12.2001 - 08.2005
Associate degree - Accounting
Jefferson Technical College
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