Transaction Reporting Analyst

About the Role

The Transaction Reporting Analyst is a critical role responsible for the operational integrity of DriveWealth's regulatory trade reporting. This role is responsible for performing the Firm's front-line supervisory reviews: working exception reports generated across trading, order handling, and FINRA trade reporting activity; investigating and documenting findings; and escalating issues to the appropriate supervisor or principal in line with the Firm's Written Supervisory Procedures (WSPs).
This is an operational, evidence-driven function. It requires the ability to read and apply the Firm's supervisory procedures, work efficiently through exception queues, spot patterns that need escalation, and maintain clean, examiner-ready records of every review performed. Prior experience with order/trade surveillance systems, exception-based reporting, or retail brokerage operations is highly desirable but not required. 

What You’ll Do

• Perform daily/periodic Level 1 supervisory reviews of assigned exception reports (e.g., trade and order exceptions, CAT/CAIS/TRF/ORF/TRACE supervisory report exceptions)

• Investigate flagged items to determine root cause, gather supporting evidence, and reach a documented conclusion

• Clear reviewed items from the queue and log the review, findings, and disposition in the Firm's designated system of record

• Track issues through to resolution and confirm that 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 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 the automation and reliability of monitoring workflows.

• Stay current on the FINRA rules and internal procedures governing the reviews performed
  
  

You Bring

• 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, such as Equities, Options, Fixed Income, Futures, and Crypto, is highly desirable.

• A track record of ownership and disciplined execution in high-stakes, deadline-driven environments.

• The 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 a 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 and will be weighted favorably

• Active Series 7 required 

• Series 3, 4, 24 (or willingness to obtain) is a plus
  
  

Location

This role is open to candidates in the following location: Chicago, Ilinois - Hybrid

• This role is expected to come into the office on a cadence set by the Hiring Manager/Team.

• If you're not based in the location listed above, this role is not a fit, and we cannot accommodate remote work outside these locations.

• Applicants must be authorized to work for any employer in the U.S. DriveWealth does not sponsor or take over sponsorship of an employment visa at this time.

Pay Range: $70,000 – $90,000 USD