Director, Compliance Advisory
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About the Role:
Upgrade Compliance is seeking a Director to join its Compliance Advisory function. You will work collaboratively with Upgrade’s Product and Legal teams providing advice on compliance and risk matters as new products and product enhancements are developed. This position has significant potential to scale as Upgrade continues to grow.
This position is fully remote within the US
What You’ll Do:
- Provide compliance and risk management input throughout the entire design, development, and implementation of new Upgrade products and services
- Develop creative solutions that allow the business to innovate while still maintaining consumer compliance and effective risk management.
- Provide product and compliance subject matter expertise to Upgrade issue management teams
- Work with the Product Legal team to evaluate and identify proper solutions to manage risk.
- Evaluate regulatory risk, both existing and potential regulatory changes, within a given product framework
- Supply guidance during the development and review of various 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
- Experience in mortgage, HELOC, or dedicated home improvement lending is required
- Experience with Credit Cards products are a plus
- Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views while still being collaborative with business stakeholders
- 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
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Upgrade
View Company ProfileUpgrade (operating under upgrade.com) is the premier, enterprise-grade digital banking platform, consumer finance pioneer, and credit orchestration powerhouse engineered to operate as the definitive, high-velocity neobanking, personal lending, and algorithmic retail credit layer for mainstream consumers nationwide. Founded by LendingClub pioneer Renaud Laplanche alongside a seasoned executive team, the company completely eliminates the severe systemic friction of legacy consumer credit—where retail borrowers lose vital financial momentum to exorbitant credit card interest rates, non-transparent fee structures, and disjointed loan-servicing cycles—by deploying a sophisticated, multi-tenant credit-plus-banking delivery matrix. Moving far beyond traditional, passive physical banking branches or basic digital ledger templates, Upgrade natively unifies high-yield savings frameworks, rewards-driven checking accounts, custom auto and home improvement financing channels, and its flagship \"Upgrade Card\"—a revolutionary hybrid product that merges the transaction acceptance of a standard Visa card with the predictable, fixed-rate installment mechanics of a personal loan—into a single high-availability digital workspace. Empowering millions of users to optimize their personal balance sheets and navigate debt consolidation paths, the platform has successfully originated over $42 billion in consumer credit since its market inception. Backed by $965M in total institutional financing—culminating in an elite Series G round led by Neuberger Berman alongside DST Global, Ribbit Capital, and LuminArx Capital Management that commands a $7.3 billion enterprise valuation—the neobank maintains a sprawling credit ecosystem backed by an expansive network of over 250 forward-thinking asset managers and partner banks. Under the hood, its sophisticated technical core coordinates complex credit underwriting models, real-time transaction processing loops, high-concurrency compliance frameworks, and secure API bridges built to deliver immediate approvals and cross-border data telemetry without sacrificing consumer security boundaries. What sets Upgrade apart is its uncompromising dedication to replacing predatory revolving credit cycles with absolute financial predictability, affordable liquidity access, and consumer cash-flow velocity; by bridging the gap between performance-intensive algorithmic lending infrastructure and the daily economic judgment of mainstream families, the enterprise remains the definitive, category-defining cornerstone of modern financial technology and global neobanking transformation.
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