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.
