"The lack of applied logic determines an outcome of chaos" -Lisa Marie Waugh, MJ

  • IU Health- West Patient and Family Advisory Committee
  • Received an award or special recognition
  • Real Estate Title Abstracting
  • IAPP Member Networked with other professionals
  • Widener University School of Law 2015 Ball State University 2013 Tidewater Community College 2001
  • Limited-edition achievement recognizing early members of Workfolio
  • Valentina Research & Management
  • Endorsed by co-workers or clients
  • Local school volunteer IPA Annual Christmas Charity Hendricks Co Sheriff's Shop With Cop AM Vets

Big or Small - your co. needs a compliance program

Lisa Marie  Waugh
Welcome to my site where you will learn not only about me but Regulatory Compliance, Vendor Risk Management and a few other legal things too! Perhaps, you may want to review the Consulting Services I offer below first.

   Regulatory Compliance and Corporate Integrity
• Regulatory Research
• Legislative Tracking
• Best Practices and Industry Research
• Compliance Program Drafting, Analysis, and Auditing
• Compliance implementation and Training management
• Integrity Program Drafting Analysis and Auditing
• Policy Drafting
• Code of Conduct Drafting

            Professional Research
• Regulatory Research
• Legislative Tracking
• Legal Research
• Best Practices and Industry Research
           
           Vendor Risk Management
• Identify and Mitigate Risks
• Change Management
• Risk Assessment (ISO Standards & Industry Standards)
  • Due Diligence Determination
  • Trust and Verify 
  • KYC

             Contract Administration Analysis, Drafting, and Negotiation of:
• IT Contracts
• Healthcare Contracts
• Real Estate Contracts
• Pharmaceutical Contracts
• Financial Agreements

              Professional Writing
• Investigative Writing
• Legal Writing
• Executive Summaries/Abstracts
• Business Writing 
• Creative Writing 

I am a change agent with the forward thinking, strategic and analytical skill set required to establish companies on the path of ethical and best business practices and integrity. My career evolved from years of fundamental experience as a Paralegal, Researcher, and Analyst. 

Along with my career experience, my education and training has expanded from earning my two Associate degrees in Legal Assisting (aka Paralegal Studies) from Tidewater Community College in Virginia Beach, Virginia in 2001, to earning my Bachelor’s in General Studies with minors in Criminal Justice & Criminology and Consumer Finance from Ball State University. At Ball State, I was able to combine the Criminal justice, Criminology, and consumer finance degrees to concentrate on the study of white collar crime. Finally, I pieced it all together when through the SCCE (Society of Corporate Compliance and Ethics) I found the MJ (Masters of Jurisprudence), Program at Widener University School of Law. I was accepted into the rigorous program. I graduated in August 2015 and have now earned my Masters of Jurisprudence in Corporate and Business Law and my Certificate in Regulatory Analysis and Compliance.  

Experience Highlights

  • Global Information Security - Intake Specialist
    Liberty Mutual via Robert Half/Protivity
  • Compliance, Regulatory Affairs & Contract Administration Consulting
    See contact information
  • Contract Administrator
    Franciscan Alliance, Inc. via Beacon Hill Legal
  • Patient Family Advisory Committee (PFAC)
    Indiana University Health- West Hospital
  • Contract Administrator
    Navient Solutions/f.k.a  Sallie MAE Bank via SMart-IT
  • Managing Director
    Valentina Research & Management LLC
  • Quality Analyst
    JPMorgan Chase
  • Paralegal
    Eli Lilly and Company
  • Paralegal
    Spotts Fain PC
  • Paralegal
    OPN Law (Osterhoudt, Prillaman, Natt, helscher, Yost, Maxwell & Ferguson)
  • Paralegal
    l. Richard Padgett, Jr., PC

Education Highlights

  • MJ - Masters of Jurisprudence degree in Corporate and Business Law
    Widener University Delaware Law School
  • RACC - Graduate Certificate in Regulatory Analysis & Compliance
    Widener University School of Law
  • BGS - Bachelors of General Studies degree in Consumer Finance & Criminology/Criminal Justice
    Ball State University
  • AAS - Associate of Applied Sciences  Legal Assistant/Paralegal: Litigation
    Tidewater Community College
  • AAS - Associate of Applied Sciences Legal Assistant/Paralegal: General Practice
    Tidewater Community College

Causes

  • Advisor
    IU Health West PFAC
  • Hendricks County Faternal Order of Police 132
    Shop With A Cop
  • Environmental Protection
    Return of the Small American Farm
  • Reducing the Incarceration of American Youth
    Get involved
  • Baby Boomer Protection
    Assisting with Contracts - Abstracting and Vetting Brokers

Interests

  • Corporate Law
    Compliance
  • Constitutional Law
    International Law
  • Information Technology
    Innovations, Forward thinking, Training & Educating Others
  • Vendor Risk Management
    VettING them all!
  • Research
    Legal, Subject Matter, Regulatory, Legislative, Business
  • The Healthcare Industry
    Oversight & Compliance
  • Environmental Law
    Real Estate Law
  • Intellectually stimulating people
    Philosophy
  • Creative writing- I am slowly working on my novel
    Travel
  • International Folklore
    generational stories from other countries
  • Hiking
    Gardening (I can grow Anything)
  • Volunteering with little ones and the older ones
    Doing whatever I can for my American Heroes

Skills

  • Legal Writing
    14
  • Legal Compliance
    12
  • Legal Research
    14
  • Regulatory Compliance
    4
  • Risk Management
    4
  • vendor Risk Management
    3
  • Contract Negotiation
    5
  • Contract Development
    12
  • Contract Review
    12
  • Excel
    13
  • Word
    13
  • Policy Drafting
    3
  • Sarbanes Oxley (SOX)
    3
  • Research
    15
  • Analysis
    15
  • Business Management
    3
  • Data Analysis
    12
  • Teamwork
    20+
  • Entity Framework
    3
  • Consumer Law research'
    12
  • SAP
    2
  • Documentation
    15
  • Insurance
    1
  • Accounts Payable
    15
  • Legal Support
    12
  • Legal Documentation
    12
  • Commercial Lease Drafting
    1
  • Real Estate
    10
  • Tax Preparation
    1
  • Title Insurance
    3
  • Entity Formation
    2
  • Document Management
    10
  • Escrow Management
    2
  • Settlement management
    2
  • Real Estate Title Analysis
    3
  • Paralegal
    12
  • Closing
    2
  • Lease Administration
    3
  • Skip Tracing
    1
  • Criminal Justice
    3
  • Judgment research
    3
  • Small Business
    3
  • Business Intelligence
    3
  • Consumer Finance
    2
  • Bookkeeping
    5
  • Real Estate Transactions
    2
  • Real Estate Disbursement Manag
    2
  • Payroll Processing
    1
  • Account Management
    3
  • Accounts Receivable
    15
  • Account Reconciliation
    3

Questions & Answers

What is compliance?
Adhering to the laws, rules and policies. This is achieved through maintaining the highest standards in not just your professional life but your personal life, as well. Integrity is everything.

While it sounds like a cliché, it is true that the tone for a company is set at the top and you know that they say about things rolling down hill- they do.


Pressure to Produce will cause Compliance violations

In expanding on micromanagement and the pressure to produce is one of the leading causes of compliance and ethics violations.

What is this SOX all about?
SOX is the acronym for the 2002 Sarbanes Oxley Act. The Act is a direct result of the Enron Scandal (news clip is in the Resources Section). SOX is an act that put Corporate America in the mainstream legal hot seat with all kinds of regulations that when violated will result in expensive fines, criminal and civil penalties. While SOX was geared towards only publically traded companies the financial industry and its regulators see most of the provisions to be applicable to all companies as a form of ethical business  practices (e.g. Best Business Practices).  Some of the main points are that a CEO must certify financial reports as to their accuracy; there must be an audit of the records and systems and this time the auditor is banned from doing other work for the company being audited (the auditor is only there to do the audit), and of course there must be a compliance program.  The best way to think of SOX is this- even if you are not a publically traded company (i.e. a private company) you better have a working compliance program and ethical business practices.

.

Who is Dodd Frank?

Dodd-Frank isn't a person, but yet another financial industry compliance act implemented in 2010. It is a direct result of the 2008 financial crisis.
In looking at Dodd-Frank and comparing it to SOX, Dodd has more of a consumer or tax payer protection focus. For one The CFPB (Consumer Financial Protection Board) was formed with this Act. And lets look at section 165. It requires large financial institutions to file annual reports that provides the plans for their institution to be liquidated in a "rapid and orderly fashion"  to avoid any harm to or bail out from the American taxpayer. In the event they are unable to do so in such plan (as regulated or determined by the Fed and FDIC) then they will need to simplify their plan or liquidate assets to do so.  That is a tall order for large financial institutions but paves the path of transparency and protection for the American market place and tax money.

What is the CFPB?

The Consumer Financial Protection Bureau. A wonderful place to begin before you do anything with your money or credit or if you are having issues with a creditor.

Gramm Leach Bliley Act (aka GLBA aka Financial Services Modernization Act of 1999)
  • Repealed the Glass–Steagall Act which prevented a financial institution from functioning as a bank, insurance company and an investment firm and the conflict of interest provision that kept an officer of one of those such companies from being employed simultaneously in the consolidated or one of  new ones.
  • While GLBA allows for the option to consolidate the placement  and workability of consumers money and other intangible assets, it prohibits the disclosure of their personal financial information via The Financial Privacy Rule
  • GLBA also requires financial institutions and any companies to ensure safeguards to such information via The Safe Guard rule. 
  • ATM Fee Disclosure
  • http://business.ftc.gov/privacy-and-security/gramm-leach-bliley-act 
  • Full law here it is only 145 pages: http://www.gpo.gov/fdsys/pkg/PLAW-106publ102/pdf/PLAW-106publ102.pdf
Did you know?
According to Brian K. Payne's White Collar Crime book that "...the same technology that makes Facebook possible is the same technology that provides the opportunity for computer crimes..." @241


Did you also know that "... Mark Zuckerberg- the founder of Facebook- has been accused of various white collar crimes relating to [the] creation of [Facebook] and the administration of it." ibid

It's true! "As an undergrad at Harvard he worked... on a ...social network called ConnectU." ibid [Facebook was created  after his time there and he was sued for stealing ConnectU's source code] ibid

What on earth is a Source Code you ask?

According to Oxford Dictionary: A Source Code is: A text listing of commands to be compiled or assembled into an executable computer program. www.oxforddictionaries.com  2014

However what you should really know is- Black Law  defines a Source Code as:

A text listing of commands to be compiled or assembled into an executable computer program.If it is not included with the software sold to the public, source code is protected by trade secret laws as well as copyright and patent laws.SOURCE CODE, Black's Law Dictionary (9th ed. 2009)

the two "Did you knows"are cited from:
White Collar Crime by Brian K. Payne 2014 page 241


Will you accept a position with just any company, if the money is right?
Absolutely not! Unethical and power driven people work everywhere. While income is at the top of a lot of our priority lists, people will leave one way or another when they are unhappy.

.

How do you feel about micromanagement?

I interpret (from experience) micromanagement to account for every moment of your time on the clock for an employer and daily assessments and heightened pressure to produce. In the legal world it is counterproductive.

Images

  • Always Question for it is to your own demise should you not.
    Always Question for it is to your own demise should you not.
  • A true heroic socioeconomic intellect  or hypocrite?
    A true heroic socioeconomic intellect  or hypocrite?
  • K.V.'s trip to England
    K.V.'s trip to England
  • My Name in lights at Victory Field!
    My Name in lights at Victory Field!
  • Society of Corporate Compliance and Ethics
    Society of Corporate Compliance and Ethics
  • Central Indiana  State Parks
    Central Indiana  State Parks
  • Indianapolis Indians -My name in lights!
    Indianapolis Indians -My name in lights!
  • Jamestown Virginia
    Jamestown Virginia
  • I want to save the
    I want to save the "Cotton-Ropkey" House in NW Indianapolis
  • Preservation and Renewal of the Small American Farm
    Preservation and Renewal of the Small American Farm

Videos

Blog

The Most Used and Abused: PCI (Payment Card Information) Pt. II

The Most Used and Abused: PCI (Payment Card Information)
          Part II PCI-DSS (PCI Data Security Standard)

With the onset of Sarbanes-Oxley (SOX 2002) and Dodd-Frank (2010), regulations, best practices and regulatory compliance are forcing businesses to step up and take responsibility for the information they are entrusted with.  The standards by which your PCI is maintained, preserved and secured is set forth by a council made up of various payment card brands. The founding payment...

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