DriveWealth
Transaction Reporting Analyst
$70K–$90K
Office - Chicago · Full-time · Posted Oct 8, 2026
- Experience
- Minimum 3+ years; compliance, supervision, operations, or analytical experience, preferably at a broker-dealer or other financial services firm.
- Education
- Bachelor's degree in Finance, Business, or a related field, or equivalent professional experience.
- Visa sponsorship
- Applicants must be authorized to work in the United States full-time without current or future visa sponsorship; the company does not provide visa sponsorship or support for employment authorization, including transfers.
About the job
Performs front-line supervisory reviews of regulatory trade-reporting exceptions, investigates and documents findings, tracks corrective actions, and supports improvements to monitoring workflows.
What you'll do
- Review exception reports, investigate flagged items, document conclusions, and clear reviewed items from the system queue.
- Track issues through resolution, identify recurring patterns, and maintain records for audits, compliance testing, and regulatory examinations.
- Partner with Engineering and Brokerage Operations to improve monitoring workflow automation and reliability.
What they ask for
- At least 3 years of experience in compliance, supervision, operations, or an analytical role.
- Active Series 7 license.
- Strong written communication, judgment, attention to detail, and ability to prioritize and escalate appropriately.
- Bachelor’s degree in Finance, Business, or a related field, or equivalent professional experience.
Nice to have
- Exposure to FINRA trade reporting, SEC Rule 605 and 606 reporting, or equivalent regulatory transaction reporting.
- SQL, AI-assisted tools, or other technical/data skills; Series 3, 4, or 24, or willingness to obtain.
Pay
$70,000 – $90,000 USD (base salary)
Tools
SQL, CAT, CAIS, TRF, ORF, TRACE, SEC Rule 605, SEC Rule 606
AI focus
May use AI-assisted tools to summarize, triage, test, or draft first-pass analysis of exception data; the company encourages AI use to improve signal quality, reduce friction, and streamline processes.
Model-written summary · the original posting is authoritative