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Compliance Director, Partnerships & Monitoring (San Francisco Bay Area)

Job Type
Practice Areas
Company Name
Solutus Legal Search
Job Title
Compliance Director, Partnerships & Monitoring (San Francisco Bay Area)


Our client, a cutting-edge emerging growth consumer finance technology company, has exclusively retained Solutus to assist in their hiring of a Compliance Director of Partnerships and Monitoring.

The person is this role will report directly to the Chief Compliance Officer and be part of a world-class compliance team, in a role that will allow you to be a part of the team that interacts closely with investors, partners and regulators during audits and exams.  As a member of the compliance team, the person in this position will play a critical role in mitigating risk and protecting the company’s growth and success.  This Compliance Director will be on the forefront of working on new products and processes, from inception to launch and market, in a high-visibility, impactful role

The ideal candidate will have a B.A. and  7+ years of compliance or regulatory experience in consumer lending with a proven with a depth of knowledge and experience knowledge of consumer protection regulation including working knowledge of applicable laws including; ECOA, FCRA, TILA, EFTA, GLBA, AML/OFAC, and related state laws.  Prior experience in operationalizing a compliance program including developing and testing procedures, training, and managing third party relationships is essential.

Major responsibilities will include:

  • Engage with Upstart counsel on regulatory change management initiatives
  • Perform compliance risk assessments and develop action plans to mitigate risks
  • Maintain up to date compliance policies
  • Manage employee compliance training program
  • Interface with investors, partners, and regulators during audits and exams
  • Oversee periodic testing and monitoring program
  • Maintain, review, and operationalize compliance program to adequately address the needs of a consumer credit business, using data and technology whenever possible to efficiently implement policies, procedures, and monitoring activities.
  • Maintain a deep and up-to-date knowledge of Upstart’s current and future product offerings, and compliance related issues
  • Regularly report to senior management on compliance issues, recommendations, and progress
  • Manage a team of compliance professionals

This role offers excellent growth potential and will provide the successful candidate with the immediate opportunity to positively impact business and become an important contributor to the Company’s success. Our client offers competitive compensation, including equity, comprehensive benefits and start-up perks. Our client’s culture is fast-paced, respectful, and collaborative.

Solutus has been selected as the exclusive representative on this desirable search.  Interested candidates, please submit resumes to search@solutuslegal.com for consideration. Resumes submitted directly to our client will be forwarded to Solutus for review and evaluation.

Ref. #591-SLS


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March 29, 2021

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