Trade Reporting Analyst

DriveWealth•Chicago, IL

7d•$70,000 - $90,000•Hybrid

About The Position

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.

Requirements

Minimum 3+ years of experience in a compliance, supervision, operations, or analytical role, preferably at a broker-dealer or other financial services firm
Bachelor's degree in Finance, Business, or a related field, or equivalent professional experience.
Active Series 7 required
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.
Applicants must possess the legal right to work in the country where the position is located at the time of application. DriveWealth requires all employees to provide original documentation verifying their work authorization on or before their first day of employment.
For US-based roles: Applicants must be currently authorized to work in the United States on a full-time basis without the need for current or future visa sponsorship. DriveWealth does not provide visa sponsorship or support for employment authorization, including transfers, at this time. Offers of employment are strictly contingent upon an individual’s ability to secure and maintain the legal right to work at the Company.

Nice To Haves

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

Responsibilities

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