DriveWealth

DriveWealth

Transaction Reporting Analyst

Office - Chicago · Mid · Contract

No sponsorship$70k-$90kDetected 1 day ago
SQLA/B TestingComplianceAuditingCadenceCommunicationInternal Audit

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odds of building a lasting career here

39Risky
Cap-exempt (no lottery)0
Sponsors this role90
Entry-level history0
PERM / green-card track0
Lottery odds (Level I)39
Fits your clock70

Thin sponsorship signal and lottery-bound (~15% per draw). A low-probability bet with your clock running. Prioritize cap-exempt roles and proven entry-level sponsors first.

Lottery odds assume a STEM candidate.

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H-1B wage level

the lottery is wage-weighted — each level is one more entry

Level I · 1×
Level I$76,3361 entry
Level II$97,4902 entries
Level III$118,6643 entries
Level IV$139,8184 entries

The bottom of this range ($70,000) is below the Level I prevailing wage of $76,336. An H-1B cannot be filed below the prevailing wage, so an offer at the floor of this band could not be sponsored as posted.

DOL prevailing wage, 2026-27 wage year · Data Scientists (15-2051) · Chicago-Naperville-Elgin, IL-IN. Wage level is derived by USCIS from the offered wage, occupation and worksite; the occupation shown is inferred from the job title.

Employer immigration record

from this employer's Department of Labor filings

Files H-1B transfers

6 transfer filings in the last year, covering 6 workers. Median labor-condition decision: 7 days. An employer that already files transfers is one that can take over an existing H-1B.

Sourced from Department of Labor LCA, PERM and prevailing-wage disclosure data. Employer matching is by name, so figures may be split across an employer's legal entities. Absence of a filing means none appears in our copy of the data, not that none exists.

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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
  • and escalating issues to the appropriate supervisor or principal in line with the Firm's Written Supervisory Procedures (WSPs).

Responsibilities

  • 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)
  • Maintain organized, accurate records to support compliance testing, internal audit, and regulatory examinations
  • Partner with Engineering and Brokerage Operations to improve the automation and reliability of monitoring workflows.
  • Strong written communication skills - able to document findings and escalations clearly and defensibly
  • To maintain the speed our partners expect, our New York, Chicago, and Lithuania teams work in office on a hybrid schedule.
  • 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.
  • 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.
  • 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.

Requirements

  • Minimum 3+ years of experience in a compliance, supervision, operations, or analytical role, preferably at a broker-dealer or other financial services firm
  • Bachelor's degree in Finance, Business, or a related field, or equivalent professional experience.
  • Active Series 7 required
  • 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.
  • Prior experience with order/trade surveillance systems, exception-based reporting, or retail brokerage operations is highly desirable but not required.
  • 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.

Nice to have

  • 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 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
  • Series 3, 4, 24 (or willingness to obtain) is a plus

Compensation

  • $70,000 - $90,000 USD
  • To support that work, we provide competitive compensation, equity, and a 401(k) match.
  • Pay is generally based on the level, complexity, responsibility, location, and job duties/requirements of the specific position.
  • If you are selected for an interview, please feel welcome to speak to a recruiter about our compensation philosophy and other available benefits.

Benefits

  • 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.
  • We then source candidates with the requisite skills, expertise, education, training, and experience.
  • This role is eligible for base, bonus, equity, 401(k) match, and heavily subsidized benefits and perks.
  • We do not discriminate based on race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Company info

  • 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!
  • 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!

Equal opportunity

  • We are an equal opportunity employer.
  • We encourage candidates from all backgrounds to apply.
  • Agency Disclaimer
  • DriveWealth does not accept agency resumes.

Visa & 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.
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This listing is sourced directly from DriveWealth's careers page and normalized into a canonical job model.