Senior Trader Onboarding Operational Readiness Analyst
About The Position
The Senior Trader Onboarding Operational Readiness Analyst is an experienced quality assurance and process subject matter expert within the Trader Onboarding & Identity Operations team, responsible for executing quality assurance (QA) governance, monitoring Service Level Agreement (SLA) performance, and driving operational readiness across identity and verification workflows. In our current operational state, this role focuses primarily on auditing, refining, and monitoring high-volume Identity Verification (IDV), Sanctions screening, and Customer Identification Program (CIP) operations. Simultaneously, you will serve as a key architect in establishing the operational readiness frameworks, Standard Operating Procedures (SOPs), QA scorecards, and compliance alignment necessary to scale Topstep into more heavily regulated spaces covering Know Your Customer (KYC) and Enhanced Due Diligence (EDD). Serving as the primary operational liaison to the Compliance organization, you will exercise independent analytical judgment to optimize current screening logic while building the foundation for future regulated expansion.
Requirements
- 2-4 years of direct experience in Quality Assurance, operational readiness, compliance testing, internal audit, or risk operations within fintech, digital brokerage, or financial institutions.
- Deep familiarity with current-state IDV, CIP, and Sanctions screening workflows, paired with a strong working knowledge of regulated KYC/AML and EDD frameworks.
- Practical experience using QA scoring tools and screening vendor platforms.
- Demonstrated experience helping design, document, and operationalize new procedures, training programs, or quality frameworks for scaling teams.
- Proven ability to analyze complex compliance policies and translate them into practical, clear, and repeatable operational procedures and training materials.
- Demonstrated capability to conduct root-cause error analysis, evaluate SLA performance data, and recommend actionable screening/process optimizations.
- Exceptional written and verbal communication skills, with a proven ability to author high-quality technical documentation and deliver clear operational briefings.
Responsibilities
- Execute daily audit sampling across completed IDV, Sanctions, and CIP cases across all Trader Onboarding & Identity Operations team pillars.
- Track, analyze, and report on SLA attainment, processing bottlenecks, and queue performance metrics.
- Establish the operational readiness infrastructure, QA scoring models, decision trees, and testing protocols required to scale operations into regulated entity onboarding pathways involving KYC and EDD.
- Serve as the primary operational liaison to the Compliance organization, ensuring all current IDV/Sanctions/CIP workflows and future KYC/EDD operational designs remain strictly aligned with evolving legal and regulatory mandates.
- Author, maintain, and audit the department’s Standard Operating Procedures (SOPs), job aids, decision trees, and training modules for both current-state operations and future regulated channels.
- Lead the rollout and operational communication of new procedures to the broader team.
- Analyze Sanctions and IDV screening match rates, false-positive frequencies, and vendor performance indicators.
- Recommend and validate logic refinements for automated screening tools to improve throughput without compromising risk tolerances.
- Own operational readiness checklists for vendor tool enhancements, product feature releases, and policy changes.
- Conduct User Acceptance Testing (UAT) on behalf of the Trader Onboarding & Identity Operations team with our IDV vendor & Product/Engineering teams prior to feature releases.
- Categorize quality defect trends using established error taxonomies, provide structured audit feedback to managers, and lead monthly calibration sessions to ensure consistent scoring across leadership.
Benefits
- Seven Company-paid Holidays
- generous Family Leave
- Paid time off is front-loaded
- Competitive 401(k) matching
- health, dental, and vision insurance
- Vacations are encouraged with a bonus for taking 5 consecutive days
- food and groceries budget
- contributes towards health and wellness
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
