Manager, Issues Management
The Team
Upstart’s Compliance team supports the company’s compliance management system by providing second-line oversight, guidance, and challenge across key business activities. The Compliance Advisory & Change Management team supports consistent execution of key compliance processes, including the second-line compliance issue management program.
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.
How you’ll make an impact
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.
Minimum 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.
Preferred Qualifications
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.
Position location This role is available in the following locations: Remote
Travel requirements As a digital first company, the majority of your work can be accomplished remotely. The majority of our employees can live and work anywhere in the U.S but are encouraged to to still spend high quality time in-person collaborating via regular onsites. The in-person sessions’ cadence varies depending on the team and role; most teams meet once or twice per quarter for 2-4 consecutive days at a time.
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At Upstart, your base pay is one part of your total compensation package. The anticipated base salary for this position is expected to be within the below range. Your actual base pay will depend on your geographic location–with our “digital first” philosophy, Upstart uses compensation regions that vary depending on location. Individual pay is also determined by job-related skills, experience, and relevant education or training. Your recruiter can share more about the specific salary range for your preferred location during the hiring process.
In addition, Upstart provides employees with target bonuses, equity compensation, and generous benefits packages (including medical, dental, vision, and 401k).
United States | Remote - Anticipated Base Salary Range
$145,100—$201,100 USD