Lenders Compliance


Quality Compliance Professionals for a Fractional Monthly Commitment

A Director of Compliance is a key business partner for each lender.  He or she is someone who can develop and implement compliance initiatives, review and approve policies and procedures, review new lending product roll-outs, respond to regulatory and BBB complaints, and review contracts and prospective vendors. Our team of compliance professionals’ steps in and works with each lender to build long-term sustainable programs.

Our Fractional Director of Compliance offering allows you access to a full and consistent strategic partner without the financial burden or commitment of a full-time Director. Our teams of Compliance Directors are not “between jobs” or looking to find a “home”. They are committed financial and compliance professionals who understand the value of working and making a difference in lending organizations while maintaining flexibility in their own lives. So, working with a Lenders Compliance Fractional Compliance Director gives you the heft and breadth of a Director of Compliance on your team, a consistent voice at the leadership table and the peace of mind of not having to carry a large financial burden.

Our Fractional Compliance professionals are able to step in immediately to help out with a wide array of services. Because every lender has unique compliance needs, we take great pride in integrating in the manner that best fits our client’s organizational structure. We can perform a compliance review of the organization’s processes, work products, consumer facing documents, etc. to provide reasonable assurance that appropriate materials are being used and procedures are in place.  If necessary, we then can conduct a complete Compliance Audit which includes an extensive analysis of the company’s policies and procedures, including transactional testing to provide reasonable assurance of adherence to the company’s policies and relevant regulations.

We deliver compliance expertise in the following functions and specialties:

  • State licensed, on-line, and tribal lending policies and procedures
  • Compliance training
  • Complaint management
  • CMS development
  • Monthly and quarterly compliance reporting
  • Contract review
  • Prospective vendor review
  • Compliance consulting
  • Enhanced due diligence (EDD) for high risk customers
  • Annual compliance audits
  • Evaluate a lender’s monitoring processes to determine accuracy, efficiency and compliance with regulator’s expectations

For more information on our fractional compliance staffing program please contact us at 1(877) 531-3339 ext.2 or email us at info@lenderscompliance.com.

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