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