# Transaction Reporting Analyst at DriveWealth > United States · Unspecified · Other · open. Source: https://alderhq.app/jobs/ashby%3Adrivewealth%3A3842a587-e529-48b1-95bf-98fa92fdf6d7 (read 2026-11-04). ## Facts (observed) - Company: [DriveWealth](https://alderhq.app/companies/drivewealth) - Location text: Office - Chicago - Where it can be done from (inferred): United States (evidence: "Location: Office - Chicago") - Posted: 2026-10-08 (27 days ago) - First seen by alder: 2026-11-02 · last verified: 2026-11-04 - Reposted: 0 times · edited: 0 times - Apply on the employer's site: https://jobs.ashbyhq.com/drivewealth/3842a587-e529-48b1-95bf-98fa92fdf6d7 - Skills listed (inferred): SQL ## Pay and sponsorship - Posted pay: not posted - Market band for similar posted roles (Chicago, n 457): p25 $66k, median $98k, p75 $150k ## Description (the employer's text) ### About Us DriveWealth is on a mission to make investing easier. We believe access to financial markets shouldn’t be limited by geography, wealth, or legacy systems. Our API-based platform empowers partners to offer seamless investing and trading experiences to clients worldwide, with US equities, ETFs, mutual funds, fixed income, options, and fractional shares. Our culture blends the pace and agility of a fintech start-up with the stability and discipline of Wall Street. We encourage creativity and experimentation while holding ourselves to institutional-grade execution and compliance. Join us and help build the future of global investing! ### About the Role 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. ### What You’ll Do 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 ### You Bring Minimum 3+ years of experience in a compliance, supervision, operations, or analytical role, preferably at a broker-dealer or other financial services firm Direct exposure to FINRA trade reporting (CAT/CAIS/TRF/ORF/TRACE), SEC Rule 605 and 606 reporting or equivalent regulatory transaction reporting is a plus. Demonstrated background handling regulatory reporting across diverse asset classes, such as Equities, Options, Fixed Income, Futures, and Crypto, is highly desirable. A track record of ownership and disciplined execution in high-stakes, deadline-driven environments. The ability to prioritize effectively and know when to escalate versus resolve independently. Strong written communication skills — able to document findings and escalations clearly and defensibly Impeccable integrity, sound judgment, high attention to detail and a deep respect for risk, control, and regulatory obligations. Bachelor's degree in Finance, Business, or a related field, or equivalent professional experience. Experience 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 favorably Active Series 7 required Series 3, 4, 24 (or willingness to obtain) is a plus ### Location This role is open to candidates in the following location: Chicago, Ilinois - Hybrid --- Data: alder (https://alderhq.app). Cite https://alderhq.app/jobs/ashby%3Adrivewealth%3A3842a587-e529-48b1-95bf-98fa92fdf6d7 and the date you read it. Observed facts come from the employer's own listing; location reach, level, family and skills are inferences.