Compliance, REGULATORY & Contract ANALYST W/ Paralegal, FINANCE, Criminology & CJ BACKGROUND

  • 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

Summary

Lisa Marie  Waugh
I am compliance, regulatory and contract analyst with a focus in the healthcare, information technology and financial industries, as well as corporate, environmental and real estate law. My primary expertise is in policy/legal research, oversight, and strategic risk management and compliance.


My Education and Training

My legal academe began at Tidewater Community College in Virginia Beach, Virginia wherein I earned two Associate degrees in Legal Assisting (aka Paralegal Studies ). One of my degrees is tailored to General Practice and the other is concentrated in Litigation. All my courses were taught by practicing attorneys and prosecutors such as Frank Zanin, Cynthia Pedigo, and Lucian B. Cox, III.

After a few years of working as a Paralegal and the financial crisis of 2007-2008, I wanted to concentrate in more oversight and regulatory areas to ensure compliance in the financial industries so I enrolled and graduated from Ball State University with a Bachelors of General Studies degree with minors in Criminal Justice & Criminology and Consumer Finance.  At Ball State, I was able to combine the criminal justice, criminology and consumer finance degrees to concentrate on the fraud/white collar crime area of finance and risk management, as well as develop an interest in community policing.

Upon my graduation from Ball State in 2013, I was accepted and I am presently enrolled at Widener University School of Law to earn my Masters of Jurisprudence in Corporate and Business Law with an additional certificate in Regulatory Analysis and Compliance. This program is designed for working adults with a legal and compliance background that want to obtain one of the highest law degrees but do not wish to practice law at the present time.  This MJ program is also governed by the SCCE (Society of Corporate Compliance and Ethics).

http://www.corporatecompliance.org/AboutSCCE/AboutSCCE.aspx

My Experience and Expertise

 While all  of my career experience has been in a legal capacity of  Paralegal, Contract Administrator or Analyst, I began my legal career  as legal receptionist/administrative assistant at a bankruptcy law firm (Roussos, Langhorne and Carlson, PLC) in Norfolk, Virginia. My introduction into the legal field there was enlightening and  inspiring, as the partners of the firm were some of the best people I have ever worked with! Yet, as my career experience and education  advanced, I have worked for some of America's largest and most influential in their industries such as  Eli Lilly & Co. (the global pharmaceutical company that developed Prozac® and CIALIS®) , JPMorgan Chase (from one of the Robber Barron's to our country's largest financial institution- also on a daily competition with Bank of America for this title), Sallie Mae, Inc. (America's favorite student loan lender), as well as Franciscan Alliance, Inc. ( A Catholic not for profit health care organization servicing the Midwest) and respectable law firms (L.Richard Padgett, Jr. PC, OPN Law and Spotts Fain PC) as contractor in the capacities of Paralegal, Quality Analyst, and Contract Administrator. 

  Presently, I am interested in compliance/legal analysis(regulatory) projects, as well as contract administration, invoice to contract compliance and other legal projects with  purpose. I am  also a consultant for one of IU Health's PFAC boards. 

 A more in-depth look at my career experience can be located at my LinkedIn profile: https://www.linkedin.com/profile/view?id=73900518&trk=nav_responsive_tab_profile 

Please visit my Blog and Resources tab for much more information about me and the compliance and legal fields as well as current topics and events!  

                                              Highlights 
 Research & Analysis
Policy Research & Analysis
Compliance Research & Analysis: Environmental, Healthcare, Information Technology, Corporate 
Legal: Case and Statutory Law Research and Analysis
Risk Management
Legal Drafting
Briefs
Policies
Contracts
Various legal documents (business agreements, entity formations, reports of titles, deeds, legal descriptions, abstracts)
Transactional
Residential Escrow and Settlement Management
Mortgage Application  Audits 
Community Policing and Community Development Research & Analysis
Corporate  

Proudest Accomplishment

Becoming a Mother

Experience Highlights

  • 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

  • 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

  • Advisor
    IU Health West PFAC
  • Hendricks County Faternal Order of Police 132
    Shop With A Cop

Interests

  • Environmental Law
    Real Estate Law
  • Corporate Law
    Compliance
  • Constitutional Law
    International Law
  • Information Technology
    Innovations, Forward thinking, Training & Educating Others
  • The Healthcare Industry
    Oversight & Compliance
  • 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-Honey!)
  • Volunteering with little ones and the older ones
    Doing whatever I can for my American Heroes

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

Questions & Answers

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.

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.

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)

.

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.
The CFPB was formed with this Act.

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.

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

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


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

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)

Gramm Leach Bliley Act (aka GLBA aka Financial Services Modernization Act of 1999)
This is my answer
  • 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 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

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

Videos

Blog

The Worst Healthcare Fraud? "Dr. Evil"- an MI Oncologist

The Worst Healthcare Fraud? "Dr. Evil"- a MI Oncologist

 
 

I could not imagine what the victims of Dr. Farid Fata are or were thinking and feeling other than the obvious- someone get Dr. Evil a bulletproof vest. According to the FBI’s article (Egregious Case of Health Care Fraud  Cancer Doctor Admits Prescribing Unnecessary Chemotherapy 11.6.14), Dr. Fata (not “Fatal” we hope but close) with  mens rea and actus reas falsely diagnosed some of his patients with cancers and other ailments....

Location

Indianapolis, Indiana Area

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