Junior Compliance Officer

New

TopstepFutures Industry

Almost anywhere in the United StatesFull-TimeJunior

Salary90,000 - 110,000 USD per year

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Job Details

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.
Proficiency with Google Workspace, Microsoft 365, and document management tools.

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.

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