Title: Junior Compliance Officer Location: United States Job Description: Topstep is looking for a Junior Compliance Officer 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 internal audit and regulatory oversight within the futures industry. In this role, you will assist in evaluating business unit adherence to internal policies, procedures, and regulatory requirements across the introducing broker (IB) and other lines of business and functions within the enterprise; support execution of risk-based internal audits; perform testing of controls and documentation; and contribute to audit reporting and remediation tracking. You will gain exposure to a broad range of activities, including operations, customer onboarding, trading activity, financial controls, supervisory frameworks, and enterprise support functions. This role will work closely with Compliance, Legal, and business stakeholders across the organization to support a strong control environment in a fast-paced, regulated environment. The ideal candidate is detail-oriented, analytically strong, and able to manage multiple priorities with professionalism and discretion. Key Responsibilities - 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. Required Qualifications & Key Competencies - Experience:
2-4 years of experience in audit, compliance, risk management, or a related control function. - Education:
Bachelor’s degree in accounting, finance, business, or related field. - Analytical Skills:
Ability to evaluate processes, identify control gaps, and assess risk in a structured manner. - Process Discipline:
Highly organized and detail-oriented, with the ability to manage audit workflows, documentation, and deadlines. - Oral Communication:
Communicates clearly and professionally with stakeholders across functions. - Written Communication:
Produces clear, concise audit documentation and reports. - Problem-Solving:
Identifies root causes and proposes practical, risk-based and compliant solutions. - Professionalism:
Handles sensitive information with discretion and maintains independence and objectivity. - Adaptability:
Able to adjust to changing priorities and evolving regulatory expectations. - Teamwork:
Collaborates effectively with Compliance, Legal, and business units. - Computer Skills:
Proficiency with Google Workspace, Microsoft 365, and document management tools; ability to learn audit and tracking systems. - Other Skills and Abilities: Ability to multitask in a dynamic environment. Strong organizational and time management skills. Comfortable working under deadlines and interacting with multiple stakeholders. 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 - $90,000 - $110,000. - 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.

Title: Senior Director, Global Ethics And Compliance Lead Location: NC, NJ USA Full time job requisition id R-279156 Come join a company that tackles fascinating problems and finds solutions to complex challenges. With deep expertise in influenza science, Seqirus works on cutting-edge research and pioneering technologies to optimise manufacturing processes and improve influenza vaccines. We operate as one integrated global organisation, drawing together expert staff from different countries to collaborate. Together, we are working on the front line to protect communities from seasonal influenza and global pandemic threats. The Opportunity: A rare and senior opportunity has arisen to join Seqirus Legal as the Ethics & Compliance Lead. Reporting to the General Counsel, Seqirus, you will be responsible for developing, embedding and continuously improving Seqirus’ global Ethics & Compliance (E&C) framework across all functions and regions. You will partner with senior leaders to identify and manage compliance risks, establish effective controls and assurance, and take a solutions focused approach to drive the ongoing development of an ethics and compliance risk aware organization. This is a hybrid role, which offers a combination of an onsite and remote work schedule. #LI-hybrid Your responsibilities will include: - Developing, establishing and managing the strategic framework, execution cadence and ongoing updates of the global Ethics & Compliance (E&C) framework for Seqirus, ensuring compliance with applicable (non-GxP) laws, regulatory requirements, policies and procedures. - Ensure alignment of the Seqirus E&C Framework to the company’s risk management frameworks and evaluates significance of each ethics and compliance related risk in the context of the company’s risks and key goals. - Providing solutions-focused and business enabling Ethics & Compliance risk advice and guidance to the business, including supporting risk identification, management, controls and mitigations and advising on impacts from regulatory and business changes. - Defining and implementing a global Seqirus Ethics & Compliance program across regions with the support of relevant regional leads, including training, Speak Up/hotline matters, investigations, third party due diligence, regional SOPs, periodic risk assessments, gap analyses and audit programs. This role will include providing primary Ethics & Compliance support for the Americas region too. - Developing, reviewing and implementing compliance policies, SOPs, guidance and tools, and establishing a global repository of Ethics & Compliance information that is kept current and accessible. - Leading Seqirus compliance meetings and deep-dive sessions into key compliance risk areas; developing metrics/KPIs and monitoring Speak Up investigations and regulatory issues. - Collaborating closely with Enterprise Risk and Monitoring & Assurance stakeholders to support Ethics & Compliance reporting, governance and risk-based monitoring and testing. - Identifying opportunities to strengthen Ethics & Compliance capability (including technology, in collaboration with IT), and implementing improvements in accordance with agreed plans. - Leading and developing the Seqirus Ethics & Compliance team, including forward-looking resource planning, role modelling of company values and capability development across geographies. To be successful you will have: - Bachelor’s degree in Business, Risk Management or Law (advanced degree preferred). - 10+ years’ international corporate experience in Compliance and risk management, including significant Ethics & Compliance program leadership. - 5+ years’ experience in the pharmaceutical, life sciences, biotech or medical device industry, with strong knowledge of relevant codes of practice. - Demonstrated ability to identify emerging risks and trends, think strategically about complex risk issues, and deliver pragmatic, solutions-oriented and business enabling advice. - Experience driving and overseeing complex projects to successful completion in global, cross-functional and matrixed environments. - Strong stakeholder influencing, communication, with sound business acumen and judgment. - Strong key strategic and business partnering skills and fosters a solution focused, pragmatic and business empowering approach to all E&C related matters. - Unleashes outcomes and creates an environment of decision making and appropriate risk taking - Leadership experience in managing and developing employees across multiple global locations. - Ability to work in a cross-functional, cross-cultural matrixed environment - Commitment to being part of a global team, including required meetings across different time-zones. - Ability and willingness to travel to other company sites globally. About CSL Seqirus CSL Seqirus is part of CSL. As one of the largest influenza vaccine providers in the world, CSL Seqirus is a major contributor to the prevention of influenza globally and a transcontinental partner in pandemic preparedness. With state-of-the-art production facilities in the U.S., the U.K. and Australia, CSL Seqirus utilizes egg, cell and adjuvant technologies to offer a broad portfolio of differentiated influenza vaccines in more than 20 countries around the world. You Belong at CSL At CSL, Inclusion and Belonging is at the core of our mission and who we are. It fuels our innovation day in and day out. By celebrating our differences and creating a culture of curiosity and empathy, we are able to better understand and connect with our patients and donors, foster strong relationships with our stakeholders, and sustain a diverse workforce that will move our company and industry into the future.

• Develop submission strategies and plans for post-approval CMC activities such as variations, renewals, market expansions, and annual reports • Assess change controls and provide regulatory assessments of quality changes in production and quality control • Review study reports from the quality control and production departments to ensure compliance with regulatory requirements • Coordinate submission preparation with various departments including manufacturing, supply chain, quality control and quality assurance, and other regulatory departments and local companies • Write and/or review submission content to ensure alignment with regulatory requirements, specifically related to variations and questions from health authorities • Manage projects within all Regulatory Information Management systems, ensuring the maintenance of worldwide submissions • Identify, escalate, and mitigate risks associated with regulatory procedures and activities

Assist in coordinating security compliance efforts, maintaining risk management files, developing policies, and preparing reports on security trends to support the firm's information security initiatives and compliance obligations.