Junior Compliance Officer

Junior Compliance Officer

Topstep is looking for a Junior Compliance Officer to join our team. This is a fully remote position, offering flexibility to work from almost anywhere in the United States while building a career in internal audit and regulatory oversight within the futures industry.

In this role, you will assist in evaluating business unit adherence to internal policies, procedures, and regulatory requirements across the introducing broker (IB) and other lines of business and functions within the enterprise; support execution of risk-based internal audits; perform testing of controls and documentation; and contribute to audit reporting and remediation tracking. You will gain exposure to a broad range of activities, including operations, customer onboarding, trading activity, financial controls, supervisory frameworks, and enterprise support functions. This role will work closely with Compliance, Legal, and business stakeholders across the organization to support a strong control environment in a fast-paced, regulated environment. The ideal candidate is detail-oriented, analytically strong, and able to manage multiple priorities with professionalism and discretion.

Key Responsibilities

• Assist in the planning and execution of internal audits, including preparing audit scopes, request lists, and timelines.
• Perform testing of business processes, controls, and documentation to assess compliance with internal policies and regulatory requirements (e.g., CFTC/NFA).
• Collect, organize, and analyze documentation provided by business units; track outstanding requests and follow-ups.
• Document audit procedures, findings, and supporting workpapers in a clear and audit-ready format.
• Assist in drafting audit reports, including identification of issues, root cause analysis, and recommended remediation actions.
• Track remediation efforts and validate completion of corrective actions.
• Participate in risk assessments to support development of the internal audit plan.
• Coordinate with Compliance and business stakeholders during audits and ongoing monitoring activities.
• Support ad hoc reviews, investigations, and special projects as needed.

Required Qualifications & Key Competencies

• Experience: 2-4 years of experience in audit, compliance, risk management, or a related control function.
• Education: Bachelor’s degree in accounting, finance, business, or related field.
• Analytical Skills: Ability to evaluate processes, identify control gaps, and assess risk in a structured manner.
• Process Discipline: Highly organized and detail-oriented, with the ability to manage audit workflows, documentation, and deadlines.
• Oral Communication: Communicates clearly and professionally with stakeholders across functions.
• Written Communication: Produces clear, concise audit documentation and reports.
• Problem-Solving: Identifies root causes and proposes practical, risk-based and compliant solutions.
• Professionalism: Handles sensitive information with discretion and maintains independence and objectivity.
• Adaptability: Able to adjust to changing priorities and evolving regulatory expectations.
• Teamwork: Collaborates effectively with Compliance, Legal, and business units.
• Computer Skills: Proficiency with Google Workspace, Microsoft 365, and document management tools; ability to learn audit and tracking systems.
• Other Skills and Abilities: Ability to multitask in a dynamic environment. Strong organizational and time management skills. Comfortable working under deadlines and interacting with multiple stakeholders.

Company Culture & Perks

Topstep is an engaging working environment that ranges from fully remote to hybrid. We foster a culture of collaboration by keeping cameras on during meetings and maintaining a robust Slack environment for communication. Seven (7) Company-paid Holidays and generous Family Leave. Paid time off is front-loaded. Competitive 401(k) matching, health, dental, and vision insurance are offered for full-time employees Vacations are encouraged with a bonus for taking 5 consecutive days. Topstep offers a food and groceries budget and contributes towards health and wellness.

New Hire Base Salary Range

$90,000 - $110,000. The compensation offered will take into account the internal compensation structure and may vary depending on the candidate's geographic region, job-related knowledge, skills, and experience, among other factors. This position is eligible for a performance-based bonus as provided by the plan terms and governing documents.

Equal Opportunity Employer

Topstep is an Equal Opportunity Employer. We are committed to fostering an inclusive environment where all employees and applicants are valued. All qualified candidates will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, age, disability, or veteran status, in compliance with applicable federal, state, and local laws.

Key skills/competency

• Compliance
• Internal Audit
• Risk Management
• Regulatory Requirements
• Control Testing
• Documentation
• Problem-Solving
• Analytical Skills
• Process Discipline
• Written Communication