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Compliance Officer

Remote

Summary 

The Compliance Officer is responsible for managing Topstep’s core compliance program, ensuring adherence to applicable laws, regulations, and internal policies governing its proprietary trading evaluation platform and broader fintech operations. Reporting to Finance and sitting within the Fraud, Risk & Compliance Department, this role provides leadership on regulatory compliance, risk mitigation, and internal controls, with a particular focus on anti-money laundering (“AML”), know-your-customer (“KYC”), NFA and CFTC compliance, fraud prevention, payment processing compliance, chargeback management, and compliance with FTC regulations and consumer protection standards. This position will collaborate closely with the compliance officer of Topstep’s regulated affiliate to implement continuity and compliance across all verticals. The ideal candidate brings strong regulatory acumen, experience in fintech and trading compliance, and a practical approach to translating complex legal obligations into effective business practices.

Key Responsibilities 

  • Oversee the development, implementation, and monitoring of Topstep’s compliance program across its trading evaluation platform and related business activities.
  • Act as the primary compliance resource for AML/KYC, ensuring alignment with applicable U.S. and international standards for customer due diligence and transaction monitoring.
  • Maintain and enhance AML/KYC policies and procedures, including risk-based onboarding, screening, and ongoing monitoring of customers.
  • Monitor and ensure compliance with NFA and CFTC rules and regulations, including staying up to date with changes and advising on their operational impacts.
  • Monitor compliance related to payment processing activities, chargeback handling, and fraud prevention systems, ensuring alignment with applicable rules and industry best practices.
  • Conduct internal audits, compliance reviews, and risk assessments to evaluate the firm’s adherence to internal controls and external requirements.
  • Monitor regulatory developments relevant to fintech, trading platforms, payments, chargebacks, advertising, data privacy, FTC regulations, consumer protection laws, and derivatives markets; advise senior management on their impacts.
  • Partner with Fraud, Risk, Legal, Marketing, and Operations to ensure compliance with NFA, CFTC, and FTC rules regarding advertising, marketing claims, disclosure, privacy policies, and customer communications.
  • Investigate potential compliance issues and escalate suspicious activity internally and to third-party partners (e.g., payment processors, financial partners) as necessary; coordinate response strategies with relevant teams.
  • Review and approve marketing materials, customer communications, and promotional content to ensure compliance with FTC, NFA Rule 2-29, advertising, and disclosure requirements.
  • Support responses to regulatory inquiries, audits, and examinations by NFA, CFTC, or other regulators, in collaboration with the Chief Legal Officer and Finance.
  • Develop and deliver compliance training programs to employees covering AML/KYC, NFA and CFTC compliance, FTC regulations, payment processing compliance, fraud awareness, chargeback management, data privacy, ethics, and other relevant topics.
  • Maintain accurate compliance documentation and reporting in accordance with regulatory and internal recordkeeping requirements.
  • Collaborate cross-functionally to assess new products, features, and initiatives for compliance risks and regulatory implications.

Required Qualifications and Key Competencies

  • Bachelor’s degree in business, finance, accounting, or a related field.
  • 5–7+ years of compliance experience in a fintech, trading platform, online financial services company, or similar regulated environment.
  • Strong knowledge of NFA and CFTC regulatory frameworks, including futures, options, and derivatives compliance obligations.
  • Strong knowledge of AML/KYC requirements, BSA/USA PATRIOT Act, OFAC, and FTC regulations (especially advertising, privacy, and consumer protection laws).
  • Experience with payment processing compliance and chargeback management, including oversight of payment processors, disputes, and fraud prevention controls.
  • Familiarity with trading, trading evaluation platforms, or online financial services operations.
  • Experience implementing and maintaining compliance programs, policies, and internal controls.
  • Excellent analytical and investigative skills.
  • A Juris Doctor degree is a plus.
  • Series 3 license preferred (or willingness to obtain within 6 months); CAMS certification is a plus.
  • Outstanding written and verbal communication skills with the ability to convey complex compliance matters clearly.
  • Ability to manage multiple priorities and deadlines in a fast-paced environment.
  • Proficiency in compliance monitoring tools, CRM systems, and Microsoft 365 suite.

Company Culture & Perks

  • Topstep is an engaging working environment which ranges from fully remote to hybrid. We foster a culture of collaboration with cameras-on during meetings and a robust Slack environment for communication. 
  • Nine (9) Company-paid Holidays and generous Family Leave. Paid time off is accrued monthly.
  • Competitive 401(k) matching, health, dental, and vision insurance is offered for full time employees 
  • Vacations are encouraged with a bonus for taking 5 consecutive days. Employee referrals are bonused. Topstep offers a food and groceries budget and contributes towards health and wellness.

New Hire Base Salary Range

  • $110,000-$140,000
  • Bonus: This position is eligible for a performance-based bonus as provided by the plan terms and governing documents.
  • The compensation offered will take into account internal equity and may vary depending on the candidate's geographic region, job-related knowledge, skills, and experience among other factors.

Eligibility & Location Restrictions:
We are currently unable to hire candidates residing in the following states: California and Montana. If you are located in one of these states, we encourage you to check back in the future for opportunities as our hiring policies may change.

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.

Interested in the role? Apply today with your resume and cover letter!

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