Specialist, Execution Services at DriveWealth

Office - ChicagoFull-timeBrokerage & Client ServicesPosted 3 days ago

About the Role

<div class="content-intro">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!</div><h3>About the Role</h3> You’ll work closely with the team, market venues, and market makers, handling real-time risk monitoring and operational troubleshooting. Your role will require consistent execution of firm policies and adherence to SEC and FINRA regulations. Success in this fast-paced, high-accountability environment requires sharp critical thinking, sound judgment, and the ability to collaborate effectively with internal and external stakeholders.  This is a second-shift position designed to support 24/5 global trading operations, offering flexible trading hours and shift schedules. The role is based in Chicago on a hybrid schedule, working from 12:00 PM to 8:00 PM CT. <h3>What You’ll Do</h3> <ul> <li>Execute Written Supervisory Procedures (WSPs) to ensure compliance with SEC and FINRA regulations. (e.g., SEC 15c3-5 Market Access Rule & FINRA Rule 5310 Best Execution and Interpositioning)</li> <li>Monitor equity trading systems, algorithmic controls, and alert frameworks for signs of disorderly trading</li> <li>Escalate issues as needed across trading desks, support, business management, and second-line risk functions</li> <li>Support trade operations across asset classes (equities, options, Fixed Income) globally</li> <li>Conduct daily real-time monitoring of our proprietary order management systems and; escalate and coordinate responses to disruptions and provide solutions</li> <li>Provide client-facing support for FIX connectivity, including session monitoring, root cause analysis, and post-mortems</li> <li>Coordinate technical onboarding for institutional clients, including FIX config, OMS/EMS integrations, and production testing</li> <li>Resolve trade discrepancies, manage post-trade allocations, and oversee operational risk events related to client order flow</li> <li>Support projects tied to internal OMS migration, risk reduction, and trading platform modernization </li> </ul> <h3>You Bring</h3> <ul> <li>3 - 5 years of experience in broker-dealer operations or electronic trading support, ideally across global markets</li> <li>FINRA Series 7, 57, and 63 licenses (required)</li> <li>Understanding of brokerage operations, electronic execution workflows, and trading infrastructure</li> <li>Understanding of brokerage operations, trading systems, and electronic execution workflows</li> <li>Hands-on experience with FIX protocol, algo trading controls, and client</li> <li>Excel, SQL, and Python; able to investigate data issues, support connectivity, and script automations</li> <li>Experience with Unix/Linux command line, JIRA, and OMS/EMS platforms (e.g., Eze, Fidessa)</li> <li>Strong project management and cross-functional coordination experience, with client-facing capabilities</li> <li>Communicate complex technical issues to both technical and non-technical audiences</li> <li>Self-starter who thrives in a fast-paced environment and can work independently</li> </ul> <h3>Location</h3> This role is open to candidates in the following locations: Chicago, IL - Hybrid  <ul> <li data-renderer-start-pos="3295" data-local-id="91bc89054278">This role is expected to come into the office on a cadence set by the Hiring Manager/Team.</li> <li data-renderer-start-pos="3295" data-local-id="91bc89054278">If you're not based in one of the locations listed above, this role is not a fit, and we cannot accommodate remote work outside these locations.</li> <li data-renderer-start-pos="3295" data-local-id="91bc89054278">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.</li> </ul> Pay Range: $130,000 – $140,000 USD<div class="content-conclusion">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.</div>

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