Transaction Reporting Analyst

The Transaction Reporting Analyst is a critical role responsible for the operational integrity of DriveWealth's regulatory trade reporting. This role performs 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 requiring the ability to read and apply supervisory procedures, work efficiently through exception queues, spot patterns needing escalation, and maintain examiner-ready records. Location: Chicago, Illinois - Hybrid. Pay range: $70,000 – $90,000 USD.

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; Escalate issues to the appropriate supervisor or principal in line with the Firm's Written Supervisory Procedures (WSPs)

Requirements

Minimum 3+ years of experience in a compliance, supervision, operations, or analytical role, preferably at a broker-dealer or other financial services firm; Demonstrated 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 a deep respect for risk, control, and regulatory obligations; Bachelor's degree in Finance, Business, or a related field, or equivalent professional experience; Active Series 7 required; 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

Nice to have

Direct exposure to FINRA trade reporting (CAT/CAIS/TRF/ORF/TRACE), SEC Rule 605 and 606 reporting, or equivalent regulatory transaction reporting; Background handling regulatory reporting across diverse asset classes such as Equities, Options, Fixed Income, Futures, and Crypto; Prior experience with order/trade surveillance systems, exception-based reporting, or retail brokerage operations; Experience with SQL, AI-assisted tools, or other technical/data skills; Series 3, 4, 24 (or willingness to obtain)

Benefits

Competitive compensation; Equity; Bonus eligibility; 401(k) match; Medical insurance; Dental insurance; Vision insurance; Disability insurance; Paid Parental Leave; Wellness reimbursement; Company-provided phone; Personal development allowance; Generous Paid Time Off (PTO) and observed holidays; Heavily subsidized benefits and perks