jobapplier

Transaction Reporting Analyst

DriveWealth

Skills

Required

  • trade reporting
  • escalate versus resolve independently
  • FINRA
  • CAT / CAIS / TRF / ORF / TRACE
  • SEC Rule 605
  • 606 reporting
  • regulatory transaction reporting
  • SQL
  • AI

Preferred

  • regulatory reporting
  • Equities
  • Options
  • Fixed Income
  • Futures
  • Crypto
  • investigate flagged items

Responsibilities

  • Join DriveWealth as a Transaction Reporting Analyst, a critical role responsible for the operational integrity of the firm's regulatory trade reporting. You will perform front-line supervisory reviews, investigate flagged items, and maintain organized records to support compliance testing and regulatory examinations. Prior experience with order/trade surveillance systems or retail brokerage operations is highly desirable. Enjoy a comprehensive benefits package, unlimited vacation time, and opportunities for professional development.
  • Perform daily/periodic Level 1 supervisory reviews of assigned exception reports, investigate flagged items, and reach documented conclusions.
  • Track issues through to resolution, confirm that corrective action was taken, and maintain organized, accurate records to support compliance testing.
  • Identify recurring exception patterns and recommend process, control, or system improvements to reduce false positives and close gaps.

Requirements

  • Bachelor's degree in Finance, Business, or a related field, or equivalent professional experience
  • Series 3, 4, 24 (or willingness to obtain) is a plus
  • The ability to prioritize effectively and know when to escalate versus resolve independently
  • 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
  • A track record of ownership and disciplined execution in high-stakes, deadline-driven environments

Active Series 7 required

  • 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
  • Minimum 3+ years of experience in a compliance, supervision, operations, or analytical role, preferably at a broker-dealer or other financial services firm
  • Strong written communication skills — able to document findings and escalations clearly and defensibly

Preferred

  • Demonstrated background handling regulatory reporting across diverse asset classes, such as Equities, Options, Fixed Income, Futures, and Crypto, is highly desirable

Pay

USD 70,000 - 90,000