Matthew Finney

Matthew Finney

Work History

Work History
Aug 2003 - Oct 2009

Intelligence Analyst / Compliance Specialist

Wells Fargo & Co.

Intelligence Analyst – Financial Intelligence Unit

  • Investigate customers for money laundering and terrorist financing, and file SARs when necessary
  • Assisted with law enforcement liaison for the former Special Investigations Group
  • Investigations Coordinator for the former Special Investigations Group

Compliance Specialist – Corporate BSA Risk Assurance Group

  • Perform risk assurance on research cases sampled from the BSA Operations Group
  • Proactively identify and report on issues identified while monitoring that need clarification or guidance, in order to meet management objectives, and remain compliant with BSA/OFAC regulations
  • Designed, created, tested, and implemented the MSB Monitoring Checklist Database - this is an MS Access database used to record and report on the testwork completed when monitoringMSB research cases

Operations Processor 3 – BSA Operations Group – MSB Operations

  • Partnered in the design and creation of all QA/QC procedures and processes
  • Designed and created initial tools for scoring team members and reporting the results
  • Assisted in the design of the QA database
  • Perform quality assurance on research cases sampled from MSB Operations
  • Proactively identify and report on departmental procedures that need clarification or guidance, from management or the BSA/OFAC office, based upon patterns noticed when performing QA/QC’s of the team members’ research cases
  • A founding member and one of the initial “team leads” within the MSB department where we investigated accounts referred to us for MSB (Money Service Business) activity or suspicious activity in order to keep the bank compliant with BSA/OFAC regulations
  • Designed and created most of the initial tools and workflow processes associated with assigning MSB accounts to team members for research, tracking the investigation progress, and reporting the results
  • Contributed to the research, clarification, and revision of various procedures for all aspects of our department
  • Assisted in design of database for closures

Operations Processor 2 – Regulatory Reporting – Unclaimed Property

  • Reported unclaimed property to all 50 states and 3 territories in the USA for the majority of Wells Fargo’s business units
  • Assisted Due Diligence department in activating dormant demand deposit, cd, and safebox accounts
  • Reviewed individual state statutes to make sure Wells Fargo was in compliance with the reporting of unclaimed securities
  • Provided customer service and research assistance to those customers whose property had already escheated
  • Balanced G/L and reconciled branch settlements between other departments
2000 - 2002

Income Accounting Specialist

Northwestern Trust

Income Accounting Specialist

  • Responsible for processing all mutual fund trades including distributions and free receipts.These duties included placing the trades directly with the fund companies or with our custodians, transferring the cash, and setting up any new funds in our system as needed.
  • Assisted in preparing 1099’s, reconciling statements, reconciling tax lot exceptions, and researching system issues.
  • Responsible for accurate payment of all income from mutual funds.
  • Manually calculated daily accrual fund income and oversaw the research to improve the income payment process.
  • Doubled as income processor for all non-mutual funds.




Portland Community College


Concordia University-Portland




Association of Certified Anti-Money Laundering Specialist