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Director, Compliance & Control Oversight - Growth

1 month, 2 weeks ago
United States
Full-time
Lead
Compliance Manager
Marketing and Growth
Machine Learning
Apply Now
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

  • Own first-line compliance and controls for acquisition channels, marketing programs, partner and affiliate relationships, and new product introductions.
  • Review and approve marketing materials and third-party-produced content before release.
  • Translate UDAAP, Regulation B, CAN-SPAM, TCPA, and disclosure requirements into practical guidance for channel launches, partner agreements, and product changes.
  • Build and maintain the business control framework, including marketing approval policies, campaign inventory, change control, compliance monitoring, and regulatory change management.
  • Quantify exposure and calibrate controls based on actual risk and materiality.
  • Lead root cause analysis and remediation design for complaints, marketing claims violations, disclosure errors, and other growth-related compliance issues.
  • Partner with Growth, Product, Marketing, ML, Legal, second-line compliance, and auditors on risk assessments, fair lending reviews, and regulatory examinations.
  • Maintain examination-ready documentation and serve as the business’s primary point of contact for audits and governance reviews.
  • Build and develop a compliance team with expertise in consumer protection, marketing, and acquisition channel regulation.

Requirements

  • 7+ years of experience in compliance, legal, or risk management in consumer lending, banking, or fintech.
  • Direct experience in marketing compliance, customer acquisition oversight, or partner/affiliate compliance.
  • Deep working knowledge of consumer protection regulations relevant to loan marketing and offer generation, including UDAAP, Regulation B, CAN-SPAM, TCPA, and applicable state laws.
  • Demonstrated experience managing a first-line compliance function in a bank-regulated environment.
  • Experience operating across first-line, second-line, and Legal structures with clear accountability.
  • Credibility with regulators, internal audit, and senior leadership.
  • Ability to apply consumer protection frameworks to novel marketing and channel contexts and prioritize controls based on materiality.
  • Experience supporting OCC, CFPB, or state regulatory examinations on consumer lending compliance (preferred).
  • Track record of identifying compliance gaps early and driving execution without waiting for direction (preferred).
  • Familiarity with secured consumer lending marketing compliance, including HELOC or home equity lending (preferred).
  • Familiarity with AI/ML-driven credit decisioning, including adverse action accuracy and fair lending implications (preferred).
  • Comfort using AI tools to increase the efficiency and quality of compliance work (preferred).

Benefits

  • Anticipated base salary range of $201,200 to $278,500 USD.
  • Target bonuses and annual equity grants.
  • Medical, dental, vision, and 401(k) benefits.
  • 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 (US only).
  • Paid time off, sick leave, and company holidays.
  • Paid family and parental leave, plus family-centered fertility and caregiving benefits.
  • Employee Assistance Program with mental health support.
  • Annual wellness allowance and annual productivity allowance.
  • Financial wellness resources, including planning tools and a financial concierge service.
  • Remote-first flexibility with in-person onsites.
  • Onsite perks such as catered lunches and stocked micro-kitchens at select offices.

Interested in this position?

Apply directly on the company website

Apply Now

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