Junior Compliance Officer

Topstep

2d•Remote

About The Position

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.

Requirements

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

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.