Hybrid Regulatory Trade Reporting Analyst

DriveWealth; 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

401(k) match

Equity

Wellness reimbursement

Company-provided phone

Personal development allowance

Paid Time Off

Holidays

Job summary

DriveWealth in Chicago is seeking a Transaction Reporting Analyst to ensure regulatory reporting integrity across trading and order handling. You will conduct Level 1 supervisory reviews, investigate exceptions, and document findings to maintain examiner-ready records.

Ideal candidates have 3+ years in compliance or financial services, familiarity with FINRA CAT/CAIS/TRF/ORF/TRACE reporting, and a BS in Finance or related field.

Qualifications

• Minimum 3+ years in a compliance, supervision, operations, or analytical role at a broker-dealer or financial services firm.
• Experience with FINRA trade reporting (CAT/CAIS/TRF/ORF/TRACE) is a plus.
• Experience with regulatory reporting across asset classes (Equities, Options, Fixed Income, Futures, Crypto) is desirable.

Responsibilities

• Perform daily/periodic Level 1 supervisory reviews of assigned exception reports.
• Investigate flagged items to determine root cause and document findings.
• Log reviews, findings, and dispositions in the firm’s system of record.
• Track issues to resolution and verify corrective actions.
• Identify recurring patterns and recommend process or system improvements.

Skills

FINRA trade reporting

Regulatory reviews

Exception-based reporting

Regulatory examinations

Written communication

Attention to detail

Team collaboration

Education

Bachelor's degree in Finance/Business or related field

Tools

SQL

AI-assisted tools

Job description

DriveWealth in Chicago is seeking a Transaction Reporting Analyst to ensure regulatory reporting integrity across trading and order handling. You will conduct Level 1 supervisory reviews, investigate exceptions, and document findings to maintain examiner-ready records.

Ideal candidates have 3+ years in compliance or financial services, familiarity with FINRA CAT/CAIS/TRF/ORF/TRACE reporting, and a BS in Finance or related field.