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Salary: USD 70,000 - 90,000 / annual
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, supporting US equities, mutual funds, ETFs, fixed income, and options.
The Transaction Reporting Analyst is a critical operational role responsible for the regulatory integrity of DriveWealth's trade reporting function. This is a front-line supervisory position focused on exception-based review and investigation.
Key Responsibilities:
- Perform daily and periodic Level 1 supervisory reviews of assigned exception reports (trade and order exceptions, CAT/CAIS/TRF/ORF/TRACE supervisory report exceptions)
- Investigate flagged items to determine root cause, gather supporting evidence, and document conclusions
- Clear reviewed items from the queue and log findings and disposition in the firm's system of record
- Track issues through to resolution and confirm corrective action was taken and evidenced
- Identify recurring exception patterns and recommend process, control, or system improvements to reduce false positives and close gaps
- Maintain organized, accurate, examiner-ready records to support compliance testing, internal audit, and regulatory examinations
- Assist in gathering facts and documentation in response to regulatory inquiries or exams
- Partner with Engineering and Brokerage Operations to improve automation and reliability of monitoring workflows
- Stay current on FINRA rules and internal procedures governing the reviews performed
This is an operational, evidence-driven function requiring the ability to read and apply supervisory procedures, work efficiently through exception queues, spot patterns requiring escalation, and maintain clean records. Prior experience with order/trade surveillance systems, exception-based reporting, or retail brokerage operations is highly desirable but not required.
The role is hybrid in Chicago with an office cadence set by the hiring manager and team. The company emphasizes working in-office to solve complex problems in real-time and maintain accountability.
Requirements:
- Minimum 3+ years of experience in a compliance, supervision, operations, or analytical role, preferably at a broker-dealer or other financial services firm
- Direct exposure to FINRA trade reporting (CAT/CAIS/TRF/ORF/TRACE), SEC Rule 605 and 606 reporting, or equivalent regulatory transaction reporting is a plus
- Demonstrated background handling regulatory reporting across diverse asset classes (Equities, Options, Fixed Income, Futures, Crypto) is highly desirable
- 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 — able to document findings and escalations clearly and defensibly
- Impeccable integrity, sound judgment, high attention to detail, and deep respect for risk, control, and regulatory obligations
- Bachelor's degree in Finance, Business, or a related field, or equivalent professional experience
- Experience with SQL, AI-assisted tools (e.g., using AI to summarize, triage, test, or draft first-pass analysis of exception data), or other technical/data skills is a strong plus
- Active Series 7 certification required
- Series 3, 4, or 24 (or willingness to obtain) is a plus
- Must be authorized to work in the United States; no visa sponsorship available
