Compliance Specialist with Finance, Paralegal and Legal Analysis Background

Summary

Lisa Marie  Waugh
I am very interested in the compliance and legal analysis of corporate governance and regulatory areas of business, environmental and real estate law, as well as the energy industry. Compliance begins at the top and spreads throughout the company through guidance, training and audits.
I am a compliance specialist and legal analyst with two Associate degrees in Legal Assisting (aka Paralegal Studies ) one for Litigation Specialist and the other is in General Practice from Tidewater Community College and a Bachelors of General Studies degree with minors in Criminal Justice & Criminology and Consumer Finance from Ball State University. Presently, I am working on my Masters of Jurisprudence in Corporate and Business Law with an additional certificate in Regulatory Analysis and Compliance at Widener University School of Law.

In addition to working for companies like Eli Lilly & Co., JPMorgan Chase and respectable law firms, as a Paralegal and Analyst, I contract compliance projects through my own consulting firm. The type of work that peaks my interest the most is preventing internal fraud and other white collar crimes.

I am also working on my long awaited novel, The Angry Mom. While fiction, it dabbles into some real events and criminal cases with a few heart racing, mind blowing surprises.

The Following Are Highlights of My Experience and Interests

Paralegal: Legal Research & Writing: Corporate/Business, Real Estate, Mortgage Banking, Contracts, Pharmaceutical Procurement, Escrow/Settlement: processing, management, post closing, Estate Planning
Policy Research & Analysis
Business Research & Analysis
Quality and Compliance Analysis: Franchises, Educational Institutions, Healthcare Facilities,
Environmental Preservation Compliance and Research
BSA/AML
Finance Compliance
Residential Escrow and Settlement Management
Mortgage Lenders and Corporations
Community Policing and Community Development Research & Analysis
Commercial Settlement Due Diligence
Foreclosure/Real Estate Management and Scouting
Environmental and Real Estate Law
Contract Drafting and Review
Creative Writing
Fundraising
Event Planning
Gardening
Traveling
Golf~novice
Tennis
Swimming

Achievements

  • IU Health- West Patient and Family Advisory Counsil
  • Real Estate Title Abstracting
  • Networked with other professionals
  • 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

Career Timeline

  1. -
    Master of Jurisprudence: Corporate & Business Law
    Widener University School of Law
    This MJ in corporate and business law with a certificate in regulatory analysis and compliance that I am earning in a virtual setting to further my education and experience in corporate compliance. Our law school courses are taught via Westlaw's TWEN and the professors are amazing people in their own careers. I chose this masters degree so that I could continue my law degree but with a specific track of corporate compliance and to further my legal research and writing experience to the expert level.
  2. -
    Advisor
    Indiana University Health- West PFAC
    Appointed member of Indiana University Health- West Hospital's Patient and Family Advisory Council, wherein we as members collaborate with various levels of management and executives to ensure quality and compliance functions to exceed quality care to patients and families through oversight, internal and external risk activities strategies
  3. -
    Quality Analyst
    JPMorgan Chase
    Quality Analyst for JP Morgan Chase wherein I perform initial compliance audits and analysis of legal and financial documentation submitted by Mortgage Bankers to ensure accordance to internal policies and governmental regulations
  4. -
    Managing Director
    Valentina Research & Management LLC
    Contract company specializing in research and analysis projects for areas of real estate, legal, marketing, as well as contracts/business areas for corporations, law firms, various government agencies and educational institutions.
  5. -
    BGS, Consumer Finance & Criminal Justice Criminolo
    Ball State University
    I earned my undergrad in general studies while working on molding my my degree with two minors in criminal justice & criminology and consumer finance to broaden my knowledge in concentrate in corporate law and white collar crimes.
  6. -
    Paralegal
    Eli Lilly and Company
    Paralegal contracted to assess, develop, implement umbrella contract system for global pharmaceutical company's procurement department and successfully transitioned it into an efficiently functioning global paperless system
  7. -
    Paralegal
    Spotts Fain PC
    Commercial Real Estate Paralegal:
    to support three attorneys in managing both converted historical residential and multi-million dollar complex commercial real estate transactions; Drafted/Analyzed various legal contracts: Commercial Purchase Agreements, Amendments, Easement agreements and other legal documents; Analyzed title and survey for potential issues; Due Diligence and closing compliance; Analysis and drafting of commercial leases and letters of intent to ensure clients’ interests; Given autonomy for managing residential historical converted properties in escrow (preparing/balancing settlement statement preparation of deed and other seller documents); Formation of corporations and other business entities; Filing/obtaining business licenses w/SCC; Assisted in registering Condominiums with the VA Real Estate Board, Performed legal research; Electronic filing. Position commanded extensive and varying levels of communication
  8. -
    AAS, Legal Assisting- Litigation
    Tidewater Community College
    My two associates degrees (in litigation and general practice) gave me insight to the legal field and the fundamental knowledge required to begin my legal career as a paralegal.
  9. -
    Associate of Arts and Sciences (AAS), Legal Assist
    Tidewater Community College
    Some of my best college experience was at Tidewater Community College while I was earning my associates degrees in paralegal/legal assisting. I had some of the most fascinating professors (attorneys) as well as fellow classmates wherein the platform for teaching was engaging and always challenging. I am very proud of this degree and find it is of more worth than a certificate in the same field.

Skills

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

Experience Highlights

  • Managing Director
    Valentina Research & Management LLC
  • Quality Analyst
    JPMorgan Chase
  • Paralegal
    Eli Lilly and Company
  • Paralegal
    Spotts Fain PC

Education Highlights

  • Master of Jurisprudence in Corporate and Business Law w/ Cert. in Regulatory Analysis & Compliance
    Widener University School of Law
  • BGS, Consumer Finance & Criminal Justice Criminology
    Ball State University
  • AAS, Legal Assisting- Litigation
    Tidewater Community College
  • Associate of Arts and Sciences (AAS), Legal Assistant/Paralegal: General Practice
    Tidewater Community College

Causes

  • Fundraising
    Indiana Paralegal Association
  • Advisor
    IU Health West PFAC
  • Hendricks County Faternal Order of Police 132
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