About the job
About Us
At DriveWealth, we are committed to revolutionizing the investment landscape by making it accessible for everyone. Our mission is to empower individuals across the globe to take charge of their financial destinies, breaking down barriers posed by geography, wealth, and outdated systems. As a cutting-edge B2B financial technology firm, we provide an API-driven platform that enables our partners to deliver seamless investment and trading experiences to clients around the world, all through their mobile devices. Our innovative technology allows for modern investment practices, including fractional share ownership, and supports trading in U.S. equities, mutual funds, ETFs, fixed income, and options.
Now is a pivotal moment to join a team that is poised to define the future of investing. We blend the dynamic spirit of a fintech startup with the impact and reliability of Wall Street, fostering an environment that encourages creativity and experimentation while maintaining the highest standards of execution and regulatory compliance. Come and be part of our journey to reshape global investing!
About the Role
The Assistant Financial Operations Professional at our self-clearing broker-dealer is essential in ensuring the precise, complete, and timely preparation and submission of financial and risk-related reports to regulatory agencies, including the SEC, FINRA, NFA, CFTC, and PCAOB. This position also involves critical functions in reconciliation, accounting, and operations.
What You’ll Do
The Assistant FinOp is a vital member of our Finance Department, ensuring compliance with all relevant federal, state, and industry regulations. This role entails compiling, analyzing, and presenting financial data, and acting as a primary liaison during audits and examinations. Key responsibilities include reconciling cash balances across the Firm’s various accounts and overseeing SEA Rule 15c3-3 Exclusive Benefit of Customers and PAB bank account withdrawals and deposits.
- Report Preparation & Submission: Prepare, review, and submit essential regulatory filings, including monthly/quarterly FOCUS reports (Financial and Operational Combined Uniform Statements) and SEC Rule 15c3-3 (Customer and PAB Protection Rules).

