Senior Manager, Compliance Advisory & Change Management

Upstart

3d•$172,100 - $238,300•Remote

About The Position

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.

Requirements

Bachelor’s degree or equivalent practical experience.
7+ years of experience in compliance, regulatory risk, or a related function within banking or financial services.
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.

Nice To Haves

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.

Responsibilities

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.

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