Senior Director, Compliance

About the Role:

Upgrade Compliance is seeking a Senior Director to lead its CMS Program, which includes core compliance program functions such as monitoring and testing, risk assessment, policy development, and issue management and corrective action. The Compliance Program Office works with stakeholders across Upgrade to ensure that compliance controls are implemented and functioning appropriately. This position has significant potential to scale as Upgrade continues to grow. 

What You’ll Do: 

• Plan, lead and execute all compliance monitoring and testing, policy development, and risk assessment activities at Upgrade
• Oversee remediation of complex compliance issues involving a range of compliance, legal and business stakeholders
• Manage and lead a team of compliance professionals
• Oversee identification and assessment of key consumer compliance and financial crimes risks
• Develop and maintain company-wide compliance policies and procedures
• Provide key risk and compliance reporting to executive and board leadership
• Act as a subject matter expert on consumer financial services laws and regulations
• Represent Upgrade on key regulatory, audit, and bank partner issues as needed

What We Look For:

• 10+ years of consumer financial services compliance experience
• Strong leadership and people management skills
• Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views
• Ability to execute in a fast-paced, technology-driven environment
• Ability to analyze risk trends at a macro level, identifying signs of changing risk levels and/or symptoms of process control breakdowns
• Excellent verbal and written communication skills and the ability to effectively shift communication styles based on audience
• Solid project management, critical thinking and analytical skills
• Highly organized and detail-oriented
• Prior experience in fintech a plus

What We Offer You: 

• Competitive salary and stock option plan
• 100% paid coverage of medical, dental and vision insurance 
• Flexible PTO
• Opportunities for professional growth and development  
• Paid parental leave
• Health & wellness initiatives

The compensation range of this position in San Francisco, CA is USD $200,000-$270,000 annually plus equity and benefits. Within this range, an individual's base pay will be dependent on a variety of factors, including without limitation, job-related knowledge, skills, education, and experience.

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Personal Information Upgrade Collects:

Identifiers Including name, address, email, telephone number, social security number, driver license number, passport number, and other personal identifying information. Characteristics of protected classifications under California or federal law, including demographic information and other personal information obtained during the application process, such as gender, race, national origin. Professional or employment-related information, such as salary/compensation and benefits packages, other relocation or job preferences, prior background, experience, skills, and other information in support of your application, reference information, other information obtained through background checks, including employment, credit, and criminal history. Education Information. Any other information you provide as a part of  recruitment, job application, or interview process. 

Purposes for Collecting Personal Information:

To consider qualifications, skills, and interest for employment. To communicate with you during the recruitment and interview process. To conduct background checks and verify your information if you are offered employment. To provide compensation, including payroll, and  administer stock options and benefits, including medical, dental, vision, commuter, and retirement benefits. To provide human resources services and conduct performance evaluations. To monitor work eligibility including work-related licenses, credentials, training, and eligibility to work in the United States. To improve recruitment and interview processes and  ensure a safe and efficient working environment. To comply with applicable legal or regulatory requirements including state and federal company reporting obligations.