Senior Compliance Associate, Issues Management

The role

You will support the end-to-end compliance issue management lifecycle from identification and tracking through remediation validation and closure. You will execute second-line compliance activities and partner with stakeholders to improve remediation quality and support regulatory readiness.

What you will do

• Execute second-line compliance issue management activities including intake, documentation, tracking, monitoring, validation, and closure
• Review and challenge remediation plans, milestones, and supporting evidence
• Maintain accurate issue inventories and monitor remediation progress
• Identify delays or high-risk issues requiring escalation
• Support independent validation and closure activities by evaluating remediation evidence
• Analyze issue trends, recurring themes, and root causes
• Partner with Engineering, Operations, Legal, and Compliance stakeholders

Required qualifications

• 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
• 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

Nice to have

• Knowledge of second-line compliance oversight, issue management frameworks, and remediation validation practices within financial services
• Experience using governance, risk, and compliance (GRC) platforms or issue management systems
• Ability to analyze issue aging, remediation progress, and recurring root causes
• Ability to collaborate across Compliance, Risk, Audit, Legal, and business teams
• Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or another relevant professional certification

Benefits

• Base pay, bonus opportunities, and annual equity grants that vest quarterly
• 401(k) or Group Retirement Savings Plan with company match of $2 for every $1 contributed, up to $15,000 annually
• Employee Stock Purchase Plan (ESPP) 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 benefits for fertility, parenthood, and caregiving
• Employee Assistance Program (EAP)
• Financial wellness resources and financial concierge service (US Only)
• Annual wellness allowance

About the company

Upstart is an AI lending marketplace that partners with banks and credit unions to expand access to affordable credit. The company is digital-first with employees located in over 80 cities across the US and Canada.