Senior Manager of Compliance Advisory & Change Management, Upstart

• 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

Desirable

• 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
• 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