REGULATORY and Vendor Risk Management  Compliance Consulting

  • IU Health- West Patient and Family Advisory Committee
  • Real Estate Title Abstracting
  • 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

Do you think your company is compliant?

Lisa Marie  Waugh
Thank you for visiting my website! Here you will not only learn about me,  but the legal and compliance industries as well.     Do you think  your company compliant ?  Is your company facing an Audit? Is your program  aligned with the Federal Sentencing Guidelines for Organizations?

        Highlights of My Consulting Services

                        Regulatory Compliance and Corporate Integrity

  • Regulatory Research 
  • Legislative Tracking 
  • Legal Research
  • Best Practices and Industry Research
  • Compliance Program Drafting,  Analysis and Auditing
  • Integrity Program Drafting Analysis and Auditing
  • Policy Drafting
  • Code of Conduct Drafting
  • Identify Risks
  • Change Management
  • Compliance implementation and Training management  
  • Vendor Risk Management   
  • Third Party Risk Assessment

                         Contract Administration 

  • Analysis ,  Drafting  and  Negotiations negotiating) of:
    Contracts  (IT, Healthcare, Real Estate, Pharmaceutical, Financial)
   Executive Summaries

                        Professional Writing

  • Grant Research and Writing
  • Investigative Writing
  • Legal Writing
  • Technical Writing
  • Creative Writing

  •                            Paralegal Work

  •  Real Estate Law
  • Escrow Management
  • Purchase Agreements
  • Deeds
  • Notes
  • Estate and Trust
  • Wills



                                        Why Me? 

  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. I sought out the compliance field and worked hard gaining the education and experience it takes to ensure employees are abiding by policies and regulations.  

 It is imperative to not only have a compliance program, but to have a working one- to ensure it is working by training, testing and audits.  I take pride in my  hard work and producing results that helps other people and companies. I also enjoy the analysis and collaboration of identifying, anticipating and resolving problems. I want to know where things are going wrong and resolving to fix them.

My Education and Training

My legal academics  began at Tidewater Community College in Virginia Beach, Virginia wherein I earned two Associate degrees in Legal Assisting (aka Paralegal Studies ) in 2001. One of my degrees is tailored to General Practice and the other is concentrated in Litigation.  After working as a paralegal, analyst and consultant, in 2013,  graduated from Ball State University in 2013 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  study of white collar crime.  Finally I was able to piece 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 in to 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.  

 While  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. As my career experience and education  advanced, I developed a solid skill set of legal and regulatory research, legal writing and negotiations, vendor risk management, as well as an expansion into grant research and writing. 

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 Delaware Law School
  • 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


  • Advisor
    IU Health West PFAC
  • Hendricks County Faternal Order of Police 132
    Shop With A Cop
  • Environmental Protection
    Return of the Small American Farm


  • Environmental Law
    Real Estate Law
  • Corporate Law
  • Constitutional Law
    International Law
  • Information Technology
    Innovations, Forward thinking, Training & Educating Others
  • The Healthcare Industry
    Oversight & Compliance
  • Intellectually stimulating people
  • Creative writing- I am slowly working on my novel
  • 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


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

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
  • Full law here it is only 145 pages:
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 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.  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)

the two "Did you knows"are cited by:
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.


  • 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



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...


Indianapolis, Indiana Area

Currently Seeking

Share on