Senior Compliance Associate, Issues Management

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🔥 1 minute ago

🇺🇸 United States – Remote

💵 $91.5k - $126.4k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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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

• 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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