Vendor Management Review

Our Vendor Management Review evaluates the processes, documentation, and controls used to oversee third-party service providers. This review helps determine whether vendor relationships are properly managed, risk assessments are completed, due diligence is perfromed and maintained, contracts are reviewed, and ongoing monitoring is performed in accordance with applicable regulatory expectations and internal policies.

Call Center Reviews

Our Call Center Review assesses the policies, procedures, scripting, monitoring practices, and quality controls related to customer interactions. This review helps ensure that call center operations are consistent, compliant, and aligned with consumer protection requirements, including proper disclosures, complaint handling, authentication procedures, call documentation, and employee training.

Website Review

Our Website Review evaluates public-facing website content for accuracy, consistency, and compliance with applicable regulatory requirements. This review includes an assessment of disclosures, product or service descriptions, marketing claims, privacy-related language, accessibility considerations, and overall alignment with internal policies and consumer protection standards.

Material Reviews

Our material review is a focused assessment of the lender’s significant business practices, consumer-facing materials, operational controls, and compliance-related documentation to determine whether any material regulatory, legal, operational, financial, or reputational risks exist.

Policy Reviews

Our policy review is a structured assessment of the lender’s written policies, procedures, and operational controls to determine whether they comply with applicable laws, regulations, and industry standards governing short-term or small dollar lending.

Full Audit

Our Full Audit provides a comprehensive evaluation of compliance controls, documentation, and operational practices. This audit typically includes a review of applicable policies and procedures, an assessment of consumer-facing and internal materials, and transactional testing to determine whether actual practices align with regulatory requirements, internal standards, and established procedures. The review is designed to identify potential gaps, assess risk, and provide practical recommendations to strengthen compliance oversight and operational consistency.

GAP Assessment

A gap assessment is a structured evaluation process used to identify differences, deficiencies, or “gaps” between an organization’s current practices and applicable regulatory requirements, internal standards, industry best practices, or desired future-state objectives.

Background Checks and Business Assurance

Our Background Checks and Business Assurance services help organizations verify the integrity of their business relationships, vendors, and internal operations. We conduct thorough background screening on individuals and entities to support informed decision-making and reduce organizational risk. Our assurance reviews evaluate internal controls and compliance frameworks to ensure your organization operates with trust, transparency, and accountability.

Complaint Notification System

A complaint notification system is a structured process and control framework used by a lender or financial services organization to identify, track, escalate, manage, and resolve consumer complaints in a timely, consistent, and compliant manner. For a small dollar lender, a complaint notification system is an essential component of the organization’s Compliance Management System (CMS) because it helps management detect potential consumer harm, operational weaknesses, regulatory violations, and reputational risks before they become systemic issues.

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