Trade Surveillance Analyst

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

We're not looking for someone to clear a queue. We're looking for an experienced surveillance analyst who has ground through alerts but never stopped asking, "Why did this really fire, and is it actually a problem?" DriveWealth operates at the frontier of embedded investing - a global B2B platform powering fractional equities, options, and multi-asset trading for partners worldwide. Our surveillance function sits at the intersection of that complexity and the regulatory obligations that come with it. We want someone who treats AI as a collaborator rather than a crutch, and who is genuinely curious about how markets work.

You've done the work. You've sat in the alert queue and dispositioned real cases - but you did it thinking, not just checking boxes. You prioritize rigorous analysis over rote processing; you investigate to find the truth, not just to close the alert, and you're skeptical of your own first conclusions. At DriveWealth, the surveillance perimeter is wide - fractional share fulfillment, options activity, multi-venue US equities flow, and a global partner base - and we need someone who finds that complexity interesting, not overwhelming.

At its core, this is a trade surveillance role. You will monitor trading activity across equities, options, and ETFs for potential violations of securities laws and firm policy - reviewing alerts generated by our surveillance platform, conducting investigations, and producing written dispositions that document your analysis and conclusions. You will contribute to the ongoing calibration of surveillance scenarios and thresholds, track relevant regulatory developments, and support the Compliance team in responding to inquiries from FINRA, the SEC, and the exchanges. The alerts will be real, the regulatory stakes will be real, and the work requires the kind of precision and professional judgment that holds up under scrutiny.

What You'll Do

• Investigate, don't just disposition: Review alerts and exception reports across a wide range of typologies (spoofing, wash trades, marking the close, momentum ignition, layering, and more). You will look past the surface to determine the actual root cause: Was this a manipulative attempt, a structural artifact of DriveWealth's fractional or B2B model, or noise?
• Reason about market context: Reconstruct what the market was doing around the flagged activity (NBBO, venues and sessions, price impact). Assess whether the conduct displaced the market or captured profit, while recognizing that a clear intent to manipulate is a violation even if the attempt fails due to market mechanics.
• Use AI to go faster and deeper: Leverage AI assistants to draft and refine SQL and Python analysis, summarize large datasets, and produce first-draft narratives. Critically validate every output against the underlying data before it becomes work product - this is a regulated environment and you are the final source of truth.
• Sharpen detection: Bring an analytical eye to scenario and threshold tuning. Identify noise, mis-set thresholds, and defensible parameter changes - and be prepared to justify them to regulators if asked.
• Support regulatory engagements: Contribute to responses to FINRA, SEC, and exchange inquiries, as well as wholesaler and market-maker RFIs.
• Navigate DriveWealth's unique surveillance perimeter: Apply surveillance judgment across fractional share activity, options flow, and multi-partner order routing - understanding that the structural features of our platform (fractional fulfillment, B2B aggregation) require context-aware analysis, not just pattern-matching.
• Produce defensible work product: Write clear, evidence-cited disposition narratives and escalation memos. Know precisely when to escalate and build every finding to withstand regulatory scrutiny.
• Work in our data environment: Query and explore trade and order data using SQL in our Databricks environment. Conceptual data fluency is required; deep coding mastery is not - your AI fluency bridges the gap.

You Bring

• Real Surveillance Experience: Hands-on trade and market surveillance experience at a FINRA-registered broker-dealer, exchange, or SRO. You've investigated alerts and made dispositions you can defend. Be prepared to walk us through a case where you pushed past the obvious answer or questioned the alert logic.
• AI Fluency: You understand the fundamental difference between probabilistic AI models and deterministic systems. You leverage AI to draft, summarize, and iterate - while recognizing that its probabilistic nature means it can never serve as the final source of truth for evidence in a highly regulated industry.
• Conceptual Data Fluency: You don't need deep coding skills, but you must understand the data - what tables represent, how records relate, and how a query should be conceptually structured. With that foundation and your AI fluency, the syntax takes care of itself.
• Market Curiosity (The Differentiator): At a minimum, a genuine interest in market structure and dynamics - venues, liquidity, order flow, price formation. We'll invest in deepening this. We can't install the curiosity.
• Nice to Have - Deeper Technical Skills: Stronger SQL or Python skills, cloud analytics experience (Databricks/Spark), or statistical analysis methods are welcome additions, not the gate.
• Nice to Have - Surveillance Platforms & Licensing: Hands-on time with platforms such as Nasdaq SMARTS, NICE Actimize, or Eventus. Prior exposure to regulatory inquiries, exams, or RFI responses. Series 7/24 or equivalent (sponsorship available).

New York, NY - Hybrid Please note: this role is expected to come into our office on a cadence set by the Hiring Manager/Team.

Pay Range : $110,000 USD - $120,000 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 4 days a week. 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 full insurance coverage, 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 PTO, observed holidays, and extended leave.

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.