DriveWealth
Transaction Reporting Analyst
$70K–$90K
Office - Chicago · Full-time · Posted Oct 8, 2026
- Experience
- Minimum 3+ years.
- 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 U.S. without current or future visa sponsorship; DriveWealth does not provide visa sponsorship or support for employment authorization, including transfers.
About the job
Conducts front-line supervisory reviews of regulatory trade-reporting and trading exception queues, documenting findings, escalating issues, and helping improve monitoring workflows.
What you'll do
- Review assigned trade and order exception reports, investigate flagged items, and document conclusions and dispositions.
- Track issues through resolution, maintain examiner-ready records, and support regulatory inquiries, audits, and examinations.
- Identify recurring patterns and partner with Engineering and Brokerage Operations to improve monitoring processes and automation.
What they ask for
- At least 3 years of experience in compliance, supervision, operations, or an analytical role.
- Active Series 7.
- Strong written communication, attention to detail, judgment, 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; experience across diverse asset classes is desirable.
- SQL, AI-assisted tools, other technical or data skills, or Series 3, 4, or 24 (or willingness to obtain).
Pay
$70,000 – $90,000 USD (base salary)
Tools
CAT, CAIS, TRF, ORF, TRACE, SQL
AI focus
AI-assisted tools may be used to summarize, triage, test, or draft first-pass analysis of exception data; the company encourages AI use to improve signal quality and streamline processes.
Model-written summary · the original posting is authoritative