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

Transaction Reporting Analyst

Responsibilities

Qualification

Required

Benefits

Company

Drivewealth

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