Topstep · 5 hours ago
Compliance Officer
United States
Full-time
Remote
Mid, Senior Level
$115K/yr - $165K/yr
5+ years expTopstep is a fintech company focused on proprietary trading evaluation. They are seeking a Compliance Officer to manage the compliance program, ensuring adherence to laws and regulations related to their trading platform and operations, with a strong emphasis on AML, KYC, and regulatory compliance.
ConsultingEducationFinancial ServicesStock ExchangesTrading Platform
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
Own the development, documentation, maintenance, and version control of compliance policies, procedures, risk assessments, and internal controls, ensuring audit-ready documentation across all compliance domains
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
Support the finance and fraud department 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, FTC regulations, consumer protection laws, and derivatives markets and advise senior management on their impacts
Partner with Fraud, Risk, Legal, 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 and coordinate response strategies with relevant teams
Support responses to regulatory inquiries, audits, and examinations by NFA, CFTC, or other regulators
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
Qualification
Required
Bachelor's degree in business, finance, accounting, or a related field
5-9+ years of compliance experience in a fintech, trading platform, online financial services company, or similar regulated environment
Strong knowledge of AML/KYC requirements, BSA/USA PATRIOT Act, OFAC, and FTC regulations (especially advertising, privacy, and consumer protection laws)
Strong knowledge of NFA and CFTC regulatory frameworks, including futures, options, and derivatives compliance obligations
Highly organized, detail-oriented, and process-driven, with demonstrated experience managing complex compliance programs, documentation workflows, regulatory calendars, and audit deliverables
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
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
Preferred
Experience drafting compliance policies and working with stakeholders to implement, monitor, and document compliance
Experience with payment processing compliance and chargeback management, including oversight of payment processors, disputes, and fraud prevention controls
CAMS certification or equivalent AML-focused training is a strong plus
Benefits
Seven Company-paid Holidays and generous Family Leave.
Paid time off is front-loaded.
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.
Company
Topstep
Topstep is a financial organization that enables resource traders to develop and learn in the trading industry.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Michael Patak
Founder & CEO
Recent News
2026-01-13
2026-01-12
Company data provided by crunchbase