Transaction Reporting Analyst

DriveWealth; United States; Remote; USD 70.000 - 110.000; Vollzeit

Benefits dieser Stelle

Health insurance

Unlimited vacation

Professional development

Zusammenfassung

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.

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Written communication

Regulatory reporting

SQL

AI tools

Attention to detail

Risk awareness

Ausbildung

Bachelor’s degree or equivalent

Tools

FINRA reporting systems

Jobbeschreibung

• The Transaction Reporting Analyst is a critical role responsible for the operational integrity of DriveWealth’s regulatory trade reporting
• This role is responsible for performing the Firm’s front-line supervisory reviews: working exception reports generated across trading, order handling, and FINRA trade reporting activity; investigating and documenting findings; and escalating issues to the appropriate supervisor or principal in line with the Firm’s Written Supervisory Procedures (WSPs)
• This is an operational, evidence-driven function
• It requires the ability to read and apply the Firm’s supervisory procedures, work efficiently through exception queues, spot patterns that need escalation, and maintain clean, examiner-ready records of every review performed
• Prior experience with order/trade surveillance systems, exception-based reporting, or retail brokerage operations is highly desirable but not required
• Perform daily/periodic Level 1 supervisory reviews of assigned exception reports (e.g., trade and order exceptions, CAT/CAIS/TRF/ORF/TRACE supervisory report exceptions)
• Investigate flagged items to determine root cause, gather supporting evidence, and reach a documented conclusion
• Clear reviewed items from the queue and log the review, findings, and disposition in the Firm’s designated system of record
• Track issues through to resolution and confirm that corrective action was taken and evidenced
• Identify recurring exception patterns and recommend process, control, or system improvements to reduce false positives and close gaps
• Maintain organized, accurate records to support compliance testing, internal audit, and regulatory examinations
• Assist in gathering facts and documentation in response to regulatory inquiries or exams
• Partner with Engineering and Brokerage Operations to improve the automation and reliability of monitoring workflows
• Stay current on the FINRA rules and internal procedures governing the reviews performed

Benefits

• Health & wellness packages: We’ve built our benefits offering as a holistic package. We provide multiple health insurance carrier options and plans (medical, dental, vision) with access to HSA and/or FSA tax savings tools. We also provide income protection including life insurance, AD&D, short- and long-term disability, as well as extended coverage resources such as fertility benefits and mental wellness resources
• Vacation & time off: To build a successful organization, employees need time away to rest and recharge, so we provide paid time off including paid holidays and unlimited vacation time. We also strongly believe in work-life balance and, therefore, offer fully remote and hybrid work positions based on role requirements
• Professional developmnet: We believe one of the greatest contributions we can make is investing in our employees’ professional development. Therefore, we offer financial support toward continuing education courses, academic coursework, professional conferences, earning professional certifications, and membership fees to professional organizations

Bachelor’s degree in Finance, Business, or a related field, or equivalent professional experienceDemonstrated background handling regulatory reporting across diverse asset classes, such as Equities, Options, Fixed Income, Futures, and Crypto, is highly desirableSeries 3, 4, 24 (or willingness to obtain) is a plusThe ability to prioritize effectively and know when to escape versus resolve independentlyDirect exposure to FINRA trade reporting (CAT/CAIS/TRF/ORF/TRACE), SEC Rule 605 and 606 reporting or equivalent regulatory transaction reporting is a plusA track record of ownership and disciplined execution in high-stakes, deadline-driven environmentsActive Series 7 requiredImpeccable integrity, sound judgment, high attention to detail and a deep respect for risk, control, and regulatory obligationsExperience with SQL, AI-assisted tools (e.g., using AI to summarize, triage, test, or draft first-pass analysis of exception data), or other technical/data skills is a strong plus and will be weighted favorablyMinimum 3+ years of experience in a compliance, supervision, operations, or analytical role, preferably at a broker-dealer or other financial services firmStrong written communication skills — able to document findings and escalations clearly and defensibly