Junior Compliance Analyst

Summary 

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.

Key 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.

Required Qualifications & Key Competencies

• Experience: 1-3 years of work experience in compliance, audit, risk management, regulatory marketing review.
• Education: Bachelor’s degree in finance or related field.
• Process Driven: Highly organized, detail-oriented, and process-driven, with demonstrated experience managing complex compliance programs, documentation workflows, regulatory calendars, and audit deliverables.
• Oral Communication: Communicate clearly and persuasively to stakeholders at all levels.
• Written Communication: Write in a clear professional tone; tailoring messaging for internal and external audiences.
• Problem-Solving: Identifies synergies and develops practical solutions.
• Professionalism: Handles sensitive compliance matters with discretion and integrity; acts with sound judgment; delivers on commitments.
• Adaptability: Responds effectively to regulatory and business changes; adjusts approach as compliance needs evolve.
• Teamwork: Collaborates across departments; builds partnerships to support a strong compliance culture.
• Computer Skills: 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.
• Other Skills and Abilities.

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

• $70,000 - $80,000.
• 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.

Interested in the role? Apply today with your resume!