[Hiring] Senior Compliance Associate, Issues Management @Upstart

Role Description

As the Senior Compliance Associate, Issues Management at Upstart, you will support the end-to-end compliance issue management lifecycle, from identification and tracking through remediation validation and closure. You will help strengthen program effectiveness by identifying emerging risks, improving issue reporting, and ensuring remediation efforts are timely, well-documented, and sustainable.

• Execute second-line compliance issue management activities, including issue intake, documentation, tracking, remediation monitoring, validation, and closure.
• Review and challenge remediation plans, milestones, and supporting evidence to ensure corrective actions address identified issues and meet established requirements.
• Maintain accurate issue inventories, monitor remediation progress and aging, and proactively identify delays or high-risk issues requiring escalation.
• Support independent validation and closure activities by evaluating remediation evidence, documenting findings, and confirming closure requirements have been met.
• Analyze issue trends, recurring themes, and root causes to deliver reporting and insights that inform compliance oversight and risk-based prioritization.
• Partner with Engineering, Operations, Legal, and Compliance stakeholders to improve remediation quality, strengthen issue management procedures, and support regulatory readiness.

Qualifications

• Bachelor's degree or equivalent practical experience.
• 3+ years of experience in compliance, issue management, audit, or risk management within banking or financial services.
• Experience supporting the lifecycle of compliance, risk, audit, or regulatory issues, including issue tracking and remediation monitoring.
• Experience reviewing remediation plans, corrective action milestones, supporting documentation, or closure evidence.
• Experience maintaining issue records or inventories within a regulated risk or compliance environment.

Requirements

• Knowledge of second-line compliance oversight, issue management frameworks, and remediation validation practices within financial services.
• Experience using governance, risk, and compliance (GRC) platforms or issue management systems.
• Ability to analyze issue aging, remediation progress, and recurring root causes to identify emerging risks and inform reporting.
• Ability to collaborate across Compliance, Risk, Audit, Legal, and business teams to navigate remediation challenges and improve issue resolution.
• Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or another 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.