Trade Surveillance Analyst

About Us

Drive Wealth 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. Drive Wealth 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!

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?” Drive Wealth 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 Drive Wealth, 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.

• 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 Drive Wealth’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…