Compliance Associate

Upstart San Carlos , CA 94070

Posted 7 months ago

Our compliance team plays a critical role in mitigating risk and protecting Upstart's growth and success. Upstart maintains an industry leading compliance program and received the CFPB's only no-action letter on its use of alternative data in making lending and pricing decisions.

Upstart is seeking a candidate that is passionate about solving complex problems, researching interesting topics, and proactively collaborating with colleagues as a Compliance Associate. This role will have a major impact on the team because your efforts will help us improve processes and procedures and adjust our practices as we grow, products change, and regulations shift. In particular, you'll be instrumental in supporting our account servicing and customer onboarding teams.

Someone that will be successful in this role is familiar with consumer compliance regulations, solutions oriented, thrives on learning new things every day, and is obsessed with detail. If you share our passion for building innovative technology while ensuring consumer protection, this could be the role for you.

Here is more about what you'll be doing:

  • Monitor, digest, and summarize issue identified in telephone monitoring and file reviews;

  • Support the complaints program through work with operational colleagues, understanding regulatory complaints, preparing reporting, and drafting responses to audits as assigned;

  • Conduct queries of various systems, complete corresponding analysis, and communicate conclusions and/or recommendations;

  • Draft and disseminate professional correspondence with internal partners, department managers, and external auditors;

  • Other special projects as assigned.

Here is what we're looking for:

  • At least 2 years experience with lending compliance, and 5 years financial services experience;

  • Knowledge of some or all applicable regulations FCRA, TILA, FDCPA, ECOA, UDAAP, EFTA, BSA/AML, OFAC, GLBA;

  • Superior written and verbal communication with people of all backgrounds;

  • Well suited to, and excited by, a startup environment - Possess a self-starter mentality with the ability to work well under pressure, and to work independently. Have a strong sense of personal accountability, and attention to detail;

  • Spanish language proficiency is a plus;

  • Strong commitment to both personal and company ethics.

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Compliance Associate

Upstart