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Compliance Assistant Manager, HELOC

5 days, 3 hours ago
United States
Full-time
Senior
Compliance Manager
Legal
JIRA
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Upstart

Upstart

Upstart Powered Loans: Personal, Car Refinance & Consolidation Through Upstart, apply online for a fast personal loan, auto refinancing, or debt consolidation. Try our quick rate check today with no impact to your credit! Founded by ex Googlers, Upstar...

Banks
1K-5K
Founded 2012
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Description

  • Advise Product, Operations, Engineering, Servicing, and Marketing on compliant mortgage and HELOC processes in a bank-regulated environment.
  • Review product designs, workflows, and disclosures to identify compliance risks, gaps, and control needs.
  • Design, implement, and enhance compliance controls and processes for new and existing products.
  • Own regulatory change management by monitoring updates, assessing impact, and driving implementation with accountable owners.
  • Translate compliance requirements into clear policies, procedures, and tech-ready guidance for scalable execution.
  • Review marketing, advertising, and channel content across web, email, SMS, and contact center for claim and disclosure compliance.
  • Oversee HELOC servicing compliance, including statements, customer communications, complaints, error resolution, and vendor oversight.
  • Run independent compliance monitoring, build KRIs, and report trends and risks to leadership.
  • Manage the issue lifecycle by documenting findings, assigning owners, driving corrective actions, and validating closure.
  • Deep-dive into systems and historical implementations to validate ongoing compliance and support remediation.

Requirements

  • 5+ years of experience in mortgage or home equity regulatory compliance, preferably in a bank or bank-regulated environment.
  • Working knowledge of consumer protection laws and regulations, including TILA/Reg Z, RESPA/Reg X, ECOA/Reg B, FCRA/Reg V, GLBA/Reg P, FDPA/Flood, Fair Housing Act, HMDA/Reg C, SAFE Act, UDAAP, EFTA/Reg E, SCRA, and applicable state laws.
  • Proven ability to partner closely with Product, Engineering, Operations, and Servicing teams.
  • Experience assessing risk, designing controls, and executing monitoring and oversight, including KRIs.
  • Proactive, high-ownership mindset with comfort diving into systems and past implementations.
  • Strong judgment, escalation skills, and ability to influence stakeholders in fast-paced, ambiguous environments.
  • Strong written and verbal communication skills.
  • Bachelor’s degree or equivalent practical experience.
  • HELOC or home equity product experience is preferred.
  • Experience across both bank and non-bank or fintech lending environments is preferred.
  • Familiarity with digital origination and omni-channel communications such as web, SMS, email, and call center is preferred.
  • Familiarity with Slack, Google Workspace, and Jira is preferred.
  • CRCM, JD, or other compliance certifications are a plus.

Benefits

  • Competitive compensation with base pay, bonus opportunities, and equity.
  • Anticipated base salary range of $115,000 to $160,000 USD for U.S. remote roles.
  • Comprehensive medical, dental, and vision coverage with Upstart HSA contributions.
  • Generous 401(k) plan with Upstart matching $2 for every $1 contributed, up to $15,000 per year.
  • Employee Stock Purchase Plan (ESPP).
  • Life and disability insurance, including company-paid coverage options.
  • Generous holiday, vacation, sick, and safety leave.
  • Paid parental, family care, and military leave programs.
  • Annual wellness, technology, ergonomic, and productivity reimbursement programs.
  • Employee Assistance Program, financial wellness resources, and family support benefits through Carrot and Cleo.
  • Remote-first flexibility with in-person onsites and office perks such as catered lunches and snacks.

Interested in this position?

Apply directly on the company website

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