Compliance & Vendor Management

Brock & Scott offers comprehensive legal operations and compliance services to lenders, loan servicers, debt buyers, law firms and agencies. Our legal team understands the complex requirements surrounding consumer finance businesses of all sizes and we work with each individual client to create a customized plan tailored to their business needs. From business process management to automation, the Compliance & Vendor Management team can help businesses meet today’s requirements.


  • Risk assessments, audits, and reviews of account records, policies, procedures, and forms, at all levels of operation related to compliance with applicable laws and regulations
  • Developing compliant business processes that integrate efficiency through automation
  • Responding to regulatory inquiries
  • Providing onsite exam assistance, pre- and post-exam work, including responding to reports, proposed actions and requests for response
  • Ensuring compliance with the rules of industry-specific regulatory bodies, such as the CFPB, as well as applicable state and federal law and regulations such as: RESPA, TILA, TCPA, ECOA, FCRA, HMDA, FDCPA, SAFE, HIPAA and GLBA. We also provide support for implementation, training, and control testing.
  • Vendor Due Diligence: We provide contract review, onboarding and annual due diligence audits, and vendor accountability reporting.
  • Regulatory Action Review: We provide on-site regulatory audit preparation and support, response to regulatory inquiries, and administrative and civil representation in associated litigation.


Our Real Estate and Mortgage Banking groups also provides regulatory compliance advice to clients in both the residential and commercial mortgage banking industries. Attorneys in the group handle issues related to default matters, repurchases, special asset resolution, appeals and title curative actions.