[Hiring] Compliance Issues Manager @Upstart

Role Description

As the Compliance Issues Manager at Upstart, reporting to the Senior Manager, Compliance Advisory & Change Management, you will help operationalize the second-line compliance issue management program. You will manage day-to-day issue management activities, maintain accurate issue records, monitor remediation progress, provide challenge throughout the issue lifecycle, and escalate significant concerns or delays.

• Execute second-line compliance issue management processes across the issue lifecycle, including intake, documentation, tracking, remediation monitoring, and closure activities.
• Maintain the compliance issue inventory and supporting documentation to promote accurate, consistent, and timely issue records.
• Review and challenge remediation plans, milestones, and supporting evidence in accordance with established issue management requirements.
• Monitor issue progress and aging, follow up with stakeholders on remediation activities, and escalate significant concerns, delays, or deviations from established requirements.
• Support validation and closure activities by reviewing remediation evidence and documenting whether established closure requirements have been addressed.
• Identify recurring issue themes and trends and provide information to the Senior Manager to support program oversight, reporting, and escalation.

Qualifications

• Bachelor’s degree or equivalent practical experience.
• 5+ years of experience in compliance, issue management, audit, risk management, or a related function within banking or financial services.
• Experience managing or supporting the lifecycle of compliance, risk, audit, or regulatory issues.
• Experience reviewing remediation plans, milestones, supporting documentation, or closure evidence.
• Experience maintaining issue records or inventories within a regulated risk or compliance environment.

Requirements

• Knowledge of compliance issue management and remediation practices within financial services.
• Experience using governance, risk, and compliance or issue-management platforms.
• Experience analyzing issue data, aging, trends, or remediation progress for reporting and escalation.
• Ability to partner effectively with compliance, risk, audit, legal, and business stakeholders throughout remediation activities.
• CRCM, CIA, or other relevant professional certification.

Benefits

• Competitive compensation, including base pay, bonus opportunities, and annual equity grants that vest quarterly.
• Retirement benefits to help you plan for the future, including a 401(k) or Group Retirement Savings Plan with a company match of $2 for every $1 contributed, up to $15,000 annually (USD in the US, CAD in Canada).
• Employee Stock Purchase Plan (ESPP) with discounted stock purchase options for eligible employees (US only).
• Comprehensive health coverage designed to support you and your family, including medical, dental, vision, and wellness resources for US and supplemental health coverage for Canada.
• Health Savings Account contributions from Upstart for eligible plans (US only).
• Income protection benefits, including life insurance and disability coverage for added financial security.
• Paid time off, sick leave, and company holidays, in line with local requirements.
• Paid family and parental leave to support caregiving and major life moments (duration varies by country).
• Family-centered benefits to support fertility, parenthood, and caregiving needs.
• Employee Assistance Program (EAP) offering mental health support and life-centered resources.
• Financial wellness resources, including access to financial planning tools and a financial concierge service (US Only).
• Annual wellness allowance to support your physical and emotional well-being and personal development, based on what matters most to you.
• Annual productivity allowance to invest in relevant tools and resources you need to do your best work, no matter where you work from.
• Connection and community through team events, all-company updates, and employee resource groups (ERGs).
• Onsite perks, including catered lunches and fully stocked micro-kitchens when working from one of our offices in the Bay Area, Austin, Columbus, and New York City.