Sobre este puesto de Transaction Reporting Analyst en DriveWealth
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 overnight Transaction Reporting Analyst is a critical role responsible for the operational integrity of DriveWealth's regulatory trade reporting during the newly extended 24/5 equity trading session. This role owns the overnight monitoring, exception handling, and repair of trade reporting submissions to FINRA's Trade Reporting Facility (TRF). The role also assists with other aspects of brokerage trade reporting, including the Consolidated Audit Trail (CAT) and Electronic Blue Sheets (EBS). This Transaction Reporting Analyst acts as the first line of defense against reporting breaks before the U.S. core trading day begins. This role works cross-functionally with Brokerage Operations, Compliance, and the U.S.-based Trade Reporting team.
What You’ll Do
- Monitor TRF and ORF (Trade Reporting Facility) submissions overnight for health, rejections, and out-of-tolerance conditions.
- Execute the 9:00pm (NYC Time) TRF opening rejection repair process, correcting and resubmitting failed trade reports within FINRA's reporting windows.
- Review and manage the EBS (Electronic Blue Sheets) submission queue, escalating unresolved items to the U.S. team.
- Confirm successful completion of CAT (Consolidated Audit Trail) submissions, investigating and escalating failures.
- Prepare detailed end-of-shift reports summarizing exceptions, open items, and notable activity for the incoming U.S. team.
- Escalate unresolved or high-severity issues promptly, exercising judgment on when an issue requires immediate U.S. involvement versus next-business-day follow-up.
- Maintain organized, auditable records of all monitoring activity, repairs, and escalations in line with the firm's written supervisory procedures.
- Build working familiarity with FINRA/SEC trade reporting rules to identify patterns and recommend process improvements.
- Partner with Engineering and Brokerage Operations to improve the automation and reliability of overnight monitoring workflows.
You Bring
- Minimum 2+ years of experience in financial services operations, trade support, or regulatory reporting.
- Direct exposure to FINRA trade reporting (TRF/CAT/EBS) or equivalent regulatory transaction reporting (e.g., MiFID II or EMIR transaction reporting) is a plus.
- Ability to work a shift aligned to the U.S. overnight trading session.
- 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 — this role's primary deliverable to the U.S. team each day is a clear, accurate handoff report.
- Impeccable integrity, sound judgment, high attention to detail and a deep respect for risk, controls, and regulatory obligations.
- Bachelor's degree (or local equivalent post-secondary qualification) in Finance, Business, or a related field, or equivalent professional experience.
Location
This role is open to candidates in the following location: Seoul, South Korea - Hybrid
- 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.
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.
