Junior Compliance Analyst

Topstep

2d•Remote

About The Position

Topstep is looking for a Junior Compliance Analyst 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 financial services compliance. In this role, you will assist in preparation and review of policies, procedures, and agreements; research diverse topics; review internal operations and practices to ensure compliance with regulatory and internal standards; assist the compliance and legal functions in internal audits; and help maintain archives for audit and recordkeeping purposes. You will become involved in new business initiatives and transactions, internal and external audits, and investigations. This role will work closely with experienced compliance and legal professionals and collaborate with teams across marketing, cybersecurity, IT, product, finance, and business functions to support responsible growth in a fast-paced environment. The ideal candidate has impeccable discretion, is detail oriented, and brings strong organization and prioritization skills.

Requirements

1-3 years of work experience in compliance, audit, risk management, regulatory marketing review.
Bachelor’s degree in finance or related field.
Highly organized, detail-oriented, and process-driven, with demonstrated experience managing complex compliance programs, documentation workflows, regulatory calendars, and audit deliverables.
Communicate clearly and persuasively to stakeholders at all levels.
Write in a clear professional tone; tailoring messaging for internal and external audiences.
Identifies synergies and develops practical solutions.
Handles sensitive compliance matters with discretion and integrity; acts with sound judgment; delivers on commitments.
Responds effectively to regulatory and business changes; adjusts approach as compliance needs evolve.
Collaborates across departments; builds partnerships to support a strong compliance culture.
Proficiency with Google, Microsoft 365 suite, and Adobe Acrobat. Ability to learn new programs/technologies as needed.
Ability to multitask in a dynamic environment.
Strong organizational and project management skills.
Comfortable working under tight deadlines and shifting priorities.

Responsibilities

Assist the Compliance Officer in the development, documentation, maintenance, and version control of compliance policies, procedures, risk assessments, and internal controls, ensuring audit-ready documentation across all compliance domains.
Assist with internal and external audits, tracking deliverables and chasing outstanding items to meet or beat deadlines.
Assist in reviewing marketing, advertising, and promotional content to ensure it meets NFA and CFTC Requirements.
Draft, prepare, review, and amend documents.
Serve as liaison with other groups within the enterprise.
Perform initial research into specific topics.
Organize projects and keep them on track by providing follow-up notices to stakeholders with deliverables.
Contribute to the documentation and reporting of compliance reviews and metrics.