<div class="content-intro"><p><span style="font-family: helvetica, arial, sans-serif;"><strong><span style="font-size: 14pt;">About Us</span></strong></span></p> <p><span style="font-family: helvetica, arial, sans-serif;">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.</span></p> <p><span style="font-family: helvetica, arial, sans-serif;">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!</span></p></div><h3><span style="font-family: helvetica, arial, sans-serif;"><strong>About the Role</strong></span></h3> <p><span style="font-family: helvetica, arial, sans-serif;">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). <br>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. <br><br></span></p> <h3><span style="font-family: helvetica, arial, sans-serif;"><strong>What You’ll Do</strong></span></h3> <ul> <li><span style="font-family: helvetica, arial, sans-serif;">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)</span></li> <li><span style="font-family: helvetica, arial, sans-serif;">Investigate flagged items to determine root cause, gather supporting evidence, and reach a documented conclusion</span></li> <li><span style="font-family: helvetica, arial, sans-serif;">Clear reviewed items from the queue and log the review, findings, and disposition in the Firm's designated system of record</span></li> <li><span style="font-family: helvetica, arial, sans-serif;">Track issues through to resolution and confirm that corrective action was taken and evidenced</span></li> <li><span style="font-family: helvetica, arial, sans-serif;">Identify recurring exception patterns and recommend process, control, or system improvements to reduce false positives and close gaps</span></li> <li><span style="font-family: helvetica, arial, sans-serif;">Maintain organized, accurate records to support compliance testing, internal audit, and regulatory examinations</span></li> <li><span style="font-family: helvetica, arial, sans-serif;">Assist in gathering facts and documentation in response to regulatory inquiries or exams</span></li> <li><span style="font-family: helvetica, arial, sans-serif;">Partner with Engineering and Brokerage Operations to improve the automation and reliability of monitoring workflows.</span></li> <li><span style="font-family: helvetica, arial, sans-serif;">Stay current on the FINRA rules and internal procedures governing the reviews performed<br><br></span></li> </ul> <h3><span style="font-family: helvetica, arial, sans-serif;"><strong>You Bring</strong></span></h3> <ul> <li><span style="font-family: helvetica, arial, sans-serif;">Minimum 3+ years of experience in a compliance, supervision, operations, or analytical role, preferably at a broker-dealer or other financial services firm </span></li> <li><span style="font-family: helvetica, arial, sans-serif;">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.</span></li> <li><span style="font-family: helvetica, arial, sans-serif;">Demonstrated background handling regulatory reporting across diverse asset classes, such as Equities, Options, Fixed Income, Futures, and Crypto, is highly desirable.</span></li> <li><span style="font-family: helvetica, arial, sans-seri