Associate Compliance Manager, Complaints

🕒 July 15

🇺🇸 United States – Remote

💵 $115.8k - $160.1k / year

⏰ Full Time

🟢 Junior

🟡 Mid-level

🚔 Compliance

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Upstart

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

🚘 Automotive

💼 Consulting

🏥 Healthcare

Automotive • Consulting • Healthcare

Upstart is a leading AI lending marketplace partnering with banks and credit unions to expand access to affordable credit. The company focuses on revolutionizing lending and credit risk evaluation by leveraging its AI marketplace, which allows for higher approval rates and lower loss rates for Upstart-powered banks and credit unions. Recently, Upstart has expanded its offerings to include automobile refinancing. With a mission to enable effortless credit based on true risk, Upstart is also known for its digital-first lending experience and holds a significant position in the financial services sector.

📋 Description

• Partner with Operations, Legal, and Risk teams to provide second line compliance oversight and guidance for customer complaint management activities. • Monitor complaint program execution against established policies, procedures, and regulatory requirements, identifying opportunities to reduce customer harm and compliance risk. • Analyze complaint data, trends, and emerging risk indicators to identify systemic issues and recommend corrective actions or customer remediation where appropriate. • Develop monitoring routines, reporting, and governance processes that strengthen the maturity and independence of the complaints oversight program. • Provide risk-based guidance on complex regulatory questions involving consumer lending and deposit products while helping stakeholders understand regulatory expectations and business impacts. • Support the evolution of the complaints compliance program by documenting future-state requirements, improving reporting capabilities, and contributing to long-term program enhancements. • Balance tactical knowledge with proven leadership and communication skills to guide conversations amongst stakeholders with differing viewpoints. Drive proposals and conclusions using data and trends to support thoughtful conclusions and influence change.

🎯 Requirements

• Bachelor's degree in Accounting, Business, Finance, Risk Management, Law, or a related field (or equivalent practical experience). • 5+ years of experience supporting second line compliance, complaints oversight, or compliance risk management within the banking or financial services industry. • Certified Regulatory Compliance Manager (CRCM) certification from the American Bankers Association. • Experienced in providing explanations of consumer banking products and governing compliance requirements in simple terms for a variety of audiences. • Experience evaluating complaint trends, conducting compliance monitoring, and communicating regulatory risk assessments to business stakeholders.

🏖️ 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 (opening Summer 2026!)