Transaction Reporting Analyst

About the Role

The overnight Transaction Reporting Analyst is a critical role responsible for the operational integrity of DriveWealth's regulatory trade reporting during the newly extended 24/5 equity trading session. This role owns the overnight monitoring, exception handling, and repair of trade reporting submissions to FINRA's Trade Reporting Facility (TRF). The role also assists with other aspects of brokerage trade reporting, including the Consolidated Audit Trail (CAT) and Electronic Blue Sheets (EBS). This Transaction Reporting Analyst acts as the first line of defense against reporting breaks before the U.S. core trading day begins. This role works cross-functionally with Brokerage Operations, Compliance, and the U.S.-based Trade Reporting team.

What You’ll Do

Monitor TRF and ORF (Trade Reporting Facility) 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's reporting windows.

Review and manage the EBS (Electronic Blue Sheets) submission queue, escalating unresolved items to the U.S. team.

Confirm successful completion of CAT (Consolidated Audit Trail) submissions, investigating and escalating failures.

Prepare detailed end-of-shift reports summarizing exceptions, open items, and notable activity for the incoming U.S. team.

Escalate unresolved or high-severity issues promptly, exercising judgment on when an issue requires immediate U.S. involvement versus next-business-day follow-up.

Maintain organized, auditable records of all monitoring activity, repairs, and escalations in line with the firm's written supervisory procedures.

Build working familiarity with FINRA/SEC trade reporting rules to identify patterns and recommend process improvements.

Partner with Engineering and Brokerage Operations to improve the automation and reliability of overnight monitoring workflows.

You Bring

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 transaction reporting) is a plus.

Ability to work a shift aligned to the U.S. overnight trading session.

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 — this role's primary deliverable to the U.S. team each day is a clear, accurate handoff report.

Impeccable integrity, sound judgment, high attention to detail and a deep respect for risk, controls, and regulatory obligations.

Bachelor's degree (or local equivalent post-secondary qualification) in Finance, Business, or a related field, or equivalent professional experience.

Location

This role is open to candidates in the following location: Seoul, South Korea - Hybrid

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.