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DriveWealth is a global B2B fintech platform democratizing access to financial markets through an API-based infrastructure. The company enables partners to offer seamless investing and trading experiences worldwide, with products spanning US equities, mutual funds, ETFs, fixed income, and options.
The Transaction Reporting Analyst is a critical overnight operations role responsible for maintaining regulatory trade reporting integrity during the extended 24/5 equity trading session. Based in Seoul with hybrid flexibility, this position owns overnight monitoring, exception handling, and repair of trade reporting submissions to FINRA's Trade Reporting Facility (TRF), while also supporting Consolidated Audit Trail (CAT) and Electronic Blue Sheets (EBS) reporting.
Key responsibilities include:
- Monitor TRF and ORF submissions overnight for health, rejections, and out-of-tolerance conditions
- Execute the 9:00pm NYC Time TRF opening rejection repair process, correcting and resubmitting failed trade reports within FINRA windows
- Review and manage EBS submission queues, escalating unresolved items to the US team
- Confirm successful CAT submissions, investigating and escalating failures
- Prepare detailed end-of-shift reports summarizing exceptions, open items, and activity for the incoming US team
- Escalate unresolved or high-severity issues promptly, exercising judgment on timing
- Maintain organized, auditable records of monitoring activity, repairs, and escalations per written supervisory procedures
- Build working familiarity with FINRA/SEC trade reporting rules to identify patterns and recommend improvements
- Partner with Engineering and Brokerage Operations to improve automation and reliability of overnight workflows
This role serves as the first line of defense against reporting breaks before the US core trading day begins, working cross-functionally with Brokerage Operations, Compliance, and the US-based Trade Reporting team.
Requirements:
- Minimum 2+ years of experience in financial services operations, trade support, or regulatory reporting
- Direct exposure to FINRA trade reporting (TRF/CAT/EBS) or equivalent regulatory transaction reporting (e.g., MiFID II or EMIR) is a plus
- Ability to work a shift aligned to the US overnight trading session
- Track record of ownership and disciplined execution in high-stakes, deadline-driven environments
- Ability to prioritize effectively and know when to escalate versus resolve independently
- Strong written communication skills—primary deliverable is a clear, accurate handoff report to the US team
- Impeccable integrity, sound judgment, high attention to detail, and deep respect for risk, controls, and regulatory obligations
- Bachelor's degree (or local equivalent post-secondary qualification) in Finance, Business, or related field, or equivalent professional experience
- Must possess legal right to work in South Korea at time of application
