Senior Manager, Compliance Advisory & Change 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 partners with stakeholders across the business to operationalize compliance requirements and support consistent execution of established compliance policies and procedures.
As the Senior Manager, Compliance Advisory & Change Management at Upstart, you will help operationalize key components of Upstart’s compliance framework, with a primary focus on third-party risk management, new and modified products and services, marketing compliance, and regulatory change management. You will partner with business stakeholders to provide second-line compliance guidance, review, and challenge while maintaining clear ownership between the first and second lines of defense.
How you’ll make an impact
Operationalize second-line compliance activities established under Upstart’s third-party risk management, new and modified products and services, marketing, and regulatory change management policies and procedures.
Review new and modified products and services for compliance considerations and provide guidance and challenge to business stakeholders throughout the applicable review process.
Review marketing and customer-facing materials in accordance with established compliance requirements and processes.
Support regulatory change management by assessing relevant regulatory developments, documenting compliance impacts, and coordinating with stakeholders responsible for implementation.
Provide compliance guidance and challenge related to third-party risk reviews in accordance with established third-party risk management requirements.
Identify and escalate material compliance concerns arising through these processes and help ensure appropriate follow-up and documentation.
Minimum Qualifications
Bachelor’s degree or equivalent practical experience.
7+ years of experience in compliance, regulatory risk, or a related function within banking or financial services.
Direct people management experience leading and developing a team.
Experience supporting compliance reviews of products, services, marketing, third parties, or regulatory changes.
Experience applying financial services laws, regulations, policies, or compliance requirements to business activities.
Experience operating within a compliance management system or comparable regulated risk-management framework.
Preferred Qualifications
Knowledge of consumer financial services laws and regulations relevant to lending products and customer communications.
Experience with new or modified product and service review processes.
Knowledge of third-party risk management and regulatory change management frameworks.
Experience partnering across compliance, legal, risk, product, marketing, and business teams.
JD, CRCM certification, or other relevant advanced degree or 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
$172,100—$238,300 USD