Senior Compliance Associate, Issues Management
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Job Description
Senior Compliance Associate managing issue remediation and regulatory readiness for Upstart’s AI lending marketplace. Monitoring risks, validating corrective actions, and improving compliance oversight.
Responsibilities:
- 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
- Maintain issue inventories and monitor remediation progress and aging
- Identify delays or high-risk issues requiring escalation
- Support independent validation and closure activities by evaluating remediation evidence and documenting findings
- Analyze issue trends, recurring themes, and root causes
- Deliver reporting and insights for 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
Requirements:
- 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
Benefits:
- Competitive compensation, including base pay, bonus opportunities, and annual equity grants that vest quarterly
- 401(k) or Group Retirement Savings Plan with a company match of $2 for every $1 contributed, up to $15,000 annually
- Employee Stock Purchase Plan (ESPP) with discounted stock purchase options for eligible employees (US only)
- Medical, dental, vision, and wellness resources
- Health Savings Account contributions for eligible plans (US only)
- Life insurance and disability coverage
- Paid time off, sick leave, and company holidays
- Paid family and parental leave
- Family-centered fertility, parenthood, and caregiving benefits
- Employee Assistance Program offering mental health support and life-centered resources
- Financial planning tools and financial concierge service (US only)
- Annual wellness allowance
- Annual productivity allowance for relevant tools and resources
- Team events, all-company updates, and employee resource groups
- Catered lunches and fully stocked micro-kitchens when working from company offices
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