---
title: 'Transaction Reporting Analyst at DriveWealth'
canonical: 'https://feeny.ai/job/transaction-reporting-analyst-drivewealth-chicago-ta2vaxhfqnx6'
type: 'job'
last_seen: '2026-10-12'
---

# Transaction Reporting Analyst at DriveWealth

- **Company:** DriveWealth
- **Location:** Chicago, IL
- **Work type:** onsite
- **Posted:** 2026-10-08
- **Last confirmed live:** 2026-10-12
- **Apply:** https://boards.greenhouse.io/drivewealth/jobs/8015963003?gh_jid=8015963003

## Job description

## 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 institutional-grade execution and regulatory compliance in everything we do. 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

- This role is expected to come into the office on a cadence set by the Hiring Manager/Team.
- If you're not based in the location listed above, this role is not a fit, and we cannot accommodate remote work outside these locations.
- Applicants must be authorized to work for any employer in the U.S. DriveWealth does not sponsor or take over sponsorship of an employment visa at this time.

Pay Range: $70,000 – $90,000 USD Working at DriveWealth

We do our best work when we're in the same room. To maintain the speed our partners expect, our New York, Chicago, and Lithuania teams work in office on a hybrid schedule. We've found that being physically side-by-side is the only way to solve complex problems in real-time and stay truly accountable to the products we ship. When you're here, you're working directly with the people making the decisions.

To support that work, we provide competitive compensation, equity, and a 401(k) match. We also offer Medical insurance, Dental insurance, Vision insurance, Disability insurance, and Paid Parental Leave, along with a wellness reimbursement, a company-provided phone, and a personal development allowance. Finally, we value the time you spend away from the office with generous Paid Time Off (PTO) and observed holidays.

Work Authorization

Applicants must possess the legal right to work in the country where the position is located at the time of application. DriveWealth requires all employees to provide original documentation verifying their work authorization on or before their first day of employment.

For US-based roles: Applicants must be currently authorized to work in the United States on a full-time basis without the need for current or future visa sponsorship. DriveWealth does not provide visa sponsorship or support for employment authorization, including transfers, at this time. Offers of employment are strictly contingent upon an individual’s ability to secure and maintain the legal right to work at the Company.

## How We Think About AI

We leverage AI to work smarter and move faster. We seek AI-curious talent who are proactive about using emerging tools to increase signal quality, reduce friction, and improve outcomes to deliver products faster, provide better service to our partners, and to streamline processes. Your ability to leverage our internal tools and technology to drive results is as important to us as your core domain expertise.

## Compensation

Pay is generally based on the level, complexity, responsibility, location, and job duties/requirements of the specific position. We then source candidates with the requisite skills, expertise, education, training, and experience.  If you are selected for an interview, please feel welcome to speak to a recruiter about our compensation philosophy and other available benefits. This role is eligible for base, bonus, equity, 401(k) match, and heavily subsidized benefits and perks.

## Equal Employment Opportunity

To build technology and products that are used and loved by people and solve real-world problems, we need to build a team with many different perspectives and experiences. We are an equal opportunity employer. We do not discriminate based on race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We encourage candidates from all backgrounds to apply.

Agency Disclaimer

DriveWealth does not accept agency resumes. Do not forward resumes to our jobs alias, employees, or any other organization location. DriveWealth is not responsible for any fees related to unsolicited resumes.

## About DriveWealth

## Company Overview
- **One-liner**: DriveWealth is a B2B financial technology platform that provides Brokerage-as-a-Service APIs, enabling banks, broker-dealers, and digital wallets to offer investing and fractional trading to their customers.
- **Entity Type**: Private (Series D, $571.8M total funding)
- **Headquarters**: New York, New York, United States
- **Founded**: ~2012 (first seed round in March 2012)
- **Founders**: Not publicly available

## Core Business
- **Primary industry**: Financial Services – Brokerage Infrastructure / Fintech
- **Target customers**: B2B – banks, broker-dealers, asset managers, digital wallets, and consumer brands
- **Mission/purpose statement**: "Empowering investing for all" (from homepage)

## Products & Services
- **Brokerage-as-a-Service (BaaS) Platform**: API-based toolkit that allows partners to build investment workflows, including fractional share ownership, round-up investing, and real-time trading. DriveWealth is a registered broker-dealer (FINRA/SIPC member).

## Market Standing
- **Valuation**: Not disclosed (private company)
- **Key Metric**: Annual Revenue $70M (latest); Total Funding $571.8M (including $450M Series D led by Insight Partners in August 2021)
- **Notable Investors/Partners**: Insight Partners (lead Series D), Route 66 Ventures, SBI Group; partners include banks, fintechs, and digital wallets across 7 countries.
- **Growth Signals**: 277 employees (+13.2% YoY); record 8.9 million trades in a single day; expanded to 7 countries (Lithuania, UK, Luxembourg, Qatar, South Korea, Singapore); appointed Naureen Hassan as Global CEO in 2026.

## Competitive Advantages
- **API-first infrastructure** that abstracts complex brokerage operations (clearing, custody, regulatory compliance).
- **Fractional share trading** capability – enables micro-investing and round-ups.
- **Regulatory moat**: Fully registered broker-dealer with FINRA/SIPC, which is difficult and costly to replicate.
- **Scale**: Proven ability to handle 8.9 million trades in a day.

## Strategic Focus
- Global expansion (hiring in Mexico, presence in APAC and Europe).
- Enhancing product suite (e.g., FDIC insurance improvements, crypto infrastructure via acquisition of Crypto-Systems LLC).
- Deepening partnerships with banks and large consumer brands to embed investing.

## Why Work Here
- **Culture**: Mixed reviews – overall rating 2.9/5 (84 reviews); compensation rated 3.6/5, but career growth rated 2.6/5 and culture 2.5/5.
- **Work location**: Hybrid/office – HQ at 28 Liberty St, New York, with offices in Jersey City and remote presence in Lithuania, UK, others.
- **Tech stack**: Modern cloud-native (AWS, Kubernetes, Terraform, Python, Kafka, Databricks, microservices).
- **Engineering culture**: Building at scale; opportunity to work on real-time trading systems, data infrastructure, and regulatory technology.
- **Growth**: 15 active job postings; headcount growing ~13% YoY.

## Sources
1. [DriveWealth Homepage](https://www.drivewealth.com/)
2. [DriveWealth - Who We Are](https://www.drivewealth.com/company/who-we-are/)
3. [DriveWealth Careers](https://www.drivewealth.com/company/careers/)
4. [LinkedIn Company Page](https://www.linkedin.com/company/drivewealth)
5. [Business Wire – CEO Appointment](https://www.businesswire.com/) (referenced in search results, article title: DriveWealth Names Naureen Hassan Chief Executive Officer)
6. [DriveWealth Jobs on Greenhouse](https://job-boards.greenhouse.io/drivewealth)

## Other roles at DriveWealth

- [Senior Quality Assurance Engineer](https://feeny.ai/job/senior-quality-assurance-engineer-drivewealth-bengaluru-4aw0gazercmp) — Bengaluru, India
- [Specialist, Execution Services](https://feeny.ai/job/specialist-execution-services-drivewealth-chicago-a5seqbc5jr2h) — Chicago, IL
- [Transaction Reporting Analyst](https://feeny.ai/job/transaction-reporting-analyst-drivewealth-apac-south-korea-w31305yg6wrq) — APAC / South Korea
- [Director of Engineering](https://feeny.ai/job/director-of-engineering-drivewealth-new-york-b04z90k78mr9) — New York, NY
- [Program Manager](https://feeny.ai/job/program-manager-drivewealth-chicago-3b6h8xg1xa6p) — Chicago, IL
- [Senior Media and Public Relations Lead](https://feeny.ai/job/senior-media-and-public-relations-lead-drivewealth-new-york-njaj4t4t8398) — New York, NY
- [Staff Quantitative Developer](https://feeny.ai/job/staff-quantitative-developer-drivewealth-chicago-bd18hs4tfavk) — Chicago, IL
- [Manager, Site Reliability Engineering](https://feeny.ai/job/manager-site-reliability-engineering-drivewealth-austin-tas2tjpycrs6) — Austin, TX / Dallas, TX / Miami, FL / Chicago, IL
- [Relationship Manager, Taiwan](https://feeny.ai/job/relationship-manager-taiwan-drivewealth-apac-xy00ka4hq0dq) — APAC
- [VP, FCM, Tokenization & Stablecoin Compliance Officer](https://feeny.ai/job/vp-fcm-tokenization-stablecoin-compliance-officer-drivewealth-austin-w7wx5t7rtk1r) — Austin, TX / Dallas, TX / Denver, CO / Miami, FL / Chicago, IL / New York, NY / San Francisco, CA / Seattle, WA