DriveWealth's award-winning APIs power modern investing for 150+ fintechs, brokers, and advisors worldwide, making it easy to launch new products fast. Backed by Accel, Insight and SoftBank VF.
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). Found on 1752vc Careers, the job board for startup and VC roles.
What they're looking for
- 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
More about this role
About Us
DriveWealth is on a mission to make investing easier. We believe that everyone should have the ability to control their financial future, and that access to financial markets should not be limited by geography, wealth, or legacy systems. We are a global B2B financial technology organization dedicated to democratizing access to financial independence around the world. Our mission is realized through an API-based platform, empowering our partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile devices. Our technology provides partners with a modern, extensible toolkit, enabling traditional investment workflows and innovative techniques like fractional share ownership. DriveWealth has evolved into a global platform offering trading of US equities, mutual funds, ETFs, fixed income, and options.
There’s never been a better time to build a category-defining business and there has rarely been a team better positioned for this opportunity. Our culture blends the pace and agility of a fintech start-up with the impact, stability, and discipline of Wall Street. We encourage creativity and experimentation while ensuring...
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