Trade Compliance & Reporting Analyst

DriveWealth; United States; Remote; USD 70,000 - 110,000; Full time

Benefits offered by this job

Health insurance

Unlimited vacation

Professional development

Job summary

DriveWealth is seeking a Transaction Reporting Analyst to ensure regulatory trade reporting integrity and supervise exception reviews across trading and order handling. The role emphasizes evidence-based analysis, escalation when needed, and maintaining clean records for audits and exams.

You will work with Engineering and Brokerage Ops to improve monitoring automation, stay current on FINRA rules, and prioritize findings in a deadline-driven environment with strict risk controls.

Qualifications

• Bachelor’s degree in Finance, Business, or a related field, or equivalent professional experience.
• Demonstrated background handling regulatory reporting across diverse asset classes is highly desirable.
• Series 3, 4, 24 (or willingness to obtain) is a plus; Active Series 7 is preferred.

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, gather evidence, and reach a documented conclusion.
• Log reviews, findings, and dispositions in the firm’s system of record; track issues to resolution with evidenced corrective action.
• Identify recurring patterns and recommend process or system improvements to reduce false positives.
• Maintain examiner-ready records for compliance testing, internal audit, and regulatory examinations.
• Assist in gathering facts for regulatory inquiries or exams; collaborate with Engineering and Brokerage Operations to improve monitoring workflows.

Skills

Written communication

Regulatory reporting

SQL

AI tools

Attention to detail

Risk awareness

Education

Bachelor’s degree or equivalent

Tools

FINRA reporting systems

Job description

DriveWealth is seeking a Transaction Reporting Analyst to ensure regulatory trade reporting integrity and supervise exception reviews across trading and order handling. The role emphasizes evidence-based analysis, escalation when needed, and maintaining clean records for audits and exams.

You will work with Engineering and Brokerage Ops to improve monitoring automation, stay current on FINRA rules, and prioritize findings in a deadline-driven environment with strict risk controls.