Frontline Regulatory Trade Reporting Analyst

DriveWealth, LLC; Chicago (IL); Hybrid; USD 70,000 - 90,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Disability insurance

Paid Parental Leave

Wellness reimbursement

Company phone

Personal development allowance

Paid time off

Holidays

Job summary

DriveWealth is seeking a Transaction Reporting Analyst in Chicago to oversee regulatory trade reporting and front-line supervisory reviews. You will investigate exceptions, document findings, and escalate issues per WSPs, ensuring accurate, examiner-ready records across multiple asset classes.

Ideal candidates have 3+ years in compliance/operations, exposure to FINRA reporting, and a strong grasp of SQL and AI-assisted data tools.

Qualifications

• Minimum 3+ years in a compliance, supervision, operations, or analytical role.
• Direct exposure to FINRA trade reporting (CAT/CAIS/TRF/ORF/TRACE) a plus.
• Bachelor's degree in Finance, Business, or related field, or equivalent experience.
• Active Series 7 required; Series 3/4/24 a plus.

Responsibilities

• Perform daily/periodic Level 1 supervisory reviews of assigned exception reports (trade and order exceptions, CAT/CAIS/TRF/ORF/TRACE).
• Investigate flagged items to determine root cause and gather evidence.
• Log reviews and dispositions in the designated system of record.
• Track issues to resolution and verify corrective actions.
• Identify recurring patterns and suggest process, control, or system improvements.
• Maintain examiner-ready records for compliance testing and audits.
• Assist in gathering facts for regulatory inquiries or exams.
• Partner with Engineering and Brokerage Operations to improve monitoring workflows.

Skills

Regulatory reporting

Analytical thinking

Attention to detail

Written communication

Ownership

Education

Bachelor's degree in Finance/Business

Tools

SQL

AI-assisted tools

Job description

DriveWealth is seeking a Transaction Reporting Analyst in Chicago to oversee regulatory trade reporting and front-line supervisory reviews. You will investigate exceptions, document findings, and escalate issues per WSPs, ensuring accurate, examiner-ready records across multiple asset classes.

Ideal candidates have 3+ years in compliance/operations, exposure to FINRA reporting, and a strong grasp of SQL and AI-assisted data tools.