Associate Compliance Manager, Complaints

Upstart

Partner with Operations, Legal, and Risk teams to provide second line compliance oversight and guidance for customer complaint management activities.; Monitor complaint program execution against established policies, procedures, and regula…

Posted 7/15/2026Verified active Jul 25, 2026, 12:31 AMfull-timeRemote • United States • 🇺🇸 United StatesSeniorLeadWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrated expertise in compliance oversight and risk management within the banking or financial services industry, with a strong focus on customer complaint management and regulatory compliance. Proven ability to analyze data trends, develop governance processes, and communicate complex regulatory concepts effectively to diverse stakeholders.

Highest-signal resume keywords

Second Line Compliance OversightCustomer Complaint ManagementRegulatory ComplianceData AnalysisRisk Management

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Compliance MonitoringData AnalysisRegulatory Risk AssessmentGovernance Program DevelopmentConsumer Banking Product Knowledge

Soft Skills

LeadershipCommunicationStakeholder EngagementInfluencing ChangeAnalytical Thinking

Tools & Technologies

Analytics ToolsAI-Enabled ToolsReporting SoftwareGovernance ToolsCompliance Management Systems

Certifications & Qualifications

Certified Regulatory Compliance Manager (CRCM)

Industry Keywords

BankingFinancial ServicesConsumer LendingDeposit ProductsThird-Party Risk Oversight

Tech Stack

Tools & technologies

Spark

About the role

Key responsibilities & impact

Partner with Operations, Legal, and Risk teams to provide second line compliance oversight and guidance for customer complaint management activities.
Monitor complaint program execution against established policies, procedures, and regulatory requirements, identifying opportunities to reduce customer harm and compliance risk.
Analyze complaint data, trends, and emerging risk indicators to identify systemic issues and recommend corrective actions or customer remediation where appropriate.
Develop monitoring routines, reporting, and governance processes that strengthen the maturity and independence of the complaints oversight program.
Provide risk-based guidance on complex regulatory questions involving consumer lending and deposit products while helping stakeholders understand regulatory expectations and business impacts.
Support the evolution of the complaints compliance program by documenting future-state requirements, improving reporting capabilities, and contributing to long-term program enhancements.
Balance tactical knowledge with&nbsp
proven leadership and communication skills to guide conversations amongst stakeholders with differening viewpointsDrive proposals and conclusions using data and trends to support&nbsp
thoughtful conclusions and influence change.

Requirements

What you’ll need

Bachelor's degree in Accounting, Business, Finance, Risk Management, Law, or a related field (or equivalent practical experience).
5+ years of experience supporting second line compliance, complaints oversight, or compliance risk management within the banking or financial services industry.
Certified Regulatory Compliance Manager (CRCM) certification from the American Bankers Association.
Experienced in providing explanations of consumer banking products and governing compliance requirements in simple terms for a variety of audiences.
Experience evaluating complaint trends, conducting compliance monitoring, and communicating regulatory risk assessments to business stakeholders.
Knowledge of third-party risk oversight and vendor compliance programs.
Ability to translate complaint data and emerging risk trends into actionable recommendations for senior leadership.
Experience designing or maturing compliance monitoring, reporting, or governance programs.
Skills in using analytics or AI-enabled tools to identify emerging complaint themes, summarize large data sets, and improve risk reporting.
Position location This role is available in the following locations: Remote

Benefits

Comp & perks

Competitive compensation, including base pay, bonus opportunities, and annual equity grants that vest quarterly 
Retirement benefits to help you plan for the future, including a 401(k) or Group Retirement Savings Plan with a company match of $2 for every $1 contributed, up to $15,000 annually (USD in the US, CAD in Canada)
Employee Stock Purchase Plan (ESPP) with discounted stock purchase options for eligible employees (US only)
Comprehensive health coverage designed to support you and your family, including medical, dental, vision, and wellness resources for US and supplemental health coverage for Canada.
Health Savings Account contributions from Upstart for eligible plans (US only)
Income protection benefits, including life insurance and disability coverage for added financial security
Paid time off, sick leave, and company holidays, in line with local requirements
Paid family and parental leave to support caregiving and major life moments (duration varies by country)
Family-centered benefits to support fertility, parenthood, and caregiving needs
Employee Assistance Program (EAP) offering mental health support and life-centered resources