Transaction Reporting Analyst

DriveWealth

. Perform daily or periodic Level 1 supervisory reviews of assigned trade and order exception reports .

Posted 11/12/2026full-timeChicago • Illinois • United StatesMid-LevelSenior💰 $70,000 - $90,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance and regulatory reporting, particularly with FINRA rules and transaction reporting across various financial instruments. Strong analytical skills are essential for investigating exceptions and recommending process improvements.

Highest-signal resume keywords

FINRA Trade ReportingRegulatory Reporting ExperienceSQL ProficiencyActive Series 7Attention To Detail

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance TestingRegulatory InquiriesRoot Cause AnalysisData DocumentationMonitoring Workflow Automation

Soft Skills

Strong Written CommunicationEffective PrioritizationSound JudgmentIntegrityRespect For Regulatory Obligations

Tools & Technologies

AI-Assisted Tools

Certifications & Qualifications

Active Series 7Series 3Series 4Series 24

Industry Keywords

Broker-DealerFinancial ServicesEquitiesOptionsFixed IncomeFuturesCryptoSEC Rule 605SEC Rule 606

Tech Stack

Tools & technologies

SQL

About the role

Key responsibilities & impact

Perform daily or periodic Level 1 supervisory reviews of assigned trade and order exception reports
Investigate flagged items, determine root cause, gather supporting evidence, and document conclusions
Clear reviewed items from queues and log reviews, findings, and dispositions in the system of record
Track issues through resolution and confirm corrective action was taken and evidenced
Identify recurring exception patterns and recommend process, control, or system improvements
Maintain accurate records for compliance testing, internal audit, and regulatory examinations
Gather facts and documentation for regulatory inquiries or examinations
Partner with Engineering and Brokerage Operations to improve monitoring workflow automation and reliability
Stay current on FINRA rules and internal supervisory procedures

Requirements

What you’ll need

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
Experience handling regulatory reporting across Equities, Options, Fixed Income, Futures, and Crypto is highly desirable
Bachelor's degree in Finance, Business, or a related field, or equivalent professional experience
Active Series 7 required
Series 3, 4, 24, or willingness to obtain is a plus
Experience with SQL, AI-assisted tools, or other technical/data skills is a strong plus
Strong written communication skills
Ability to prioritize effectively and know when to escalate versus resolve independently
High attention to detail, sound judgment, integrity, and respect for regulatory obligations
Must be authorized to work for any employer in the United States without current or future visa sponsorship
Must be based in Chicago, Illinois, and able to meet hybrid office attendance requirements

Benefits

Comp & perks

Competitive compensation
Equity
401(k) match
Medical insurance
Dental insurance
Vision insurance
Disability insurance
Paid Parental Leave
Wellness reimbursement
Company-provided phone
Personal development allowance
Generous Paid Time Off (PTO)
Observed holidays
Heavily subsidized benefits and perks
Bonus eligibility