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


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).

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: 

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!  

 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
Various legal documents (business agreements, entity formations, reports of titles, deeds, legal descriptions, abstracts)
Residential Escrow and Settlement Management
Mortgage Application  Audits 
Community Policing and Community Development Research & Analysis

Career Timeline

  1. -
    Contract Administrator, Franciscan Alliance, Inc.

    Temp. Assignment. Contract Administration for IT data Center of FAI. Redlined, drafted and negotiated vendor IT contracts for not for profit organization.

  2. -
    Contract Administrator, SmartIT at Sallie Mae, Inc./Navient Solutions, Inc.
  3. -
    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.

  4. -
    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

  5. -
    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.

  6. -
    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.

  7. -
    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

  8. -
    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

  9. -
    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

  10. -
    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.

  11. -
    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.

Proudest Accomplishment

Maintaining my personal and professional integrity and inspiring others to do the same.

Experience Highlights

  • Contract Administrator
    Franciscan Alliance, Inc. via Beacon Hill Legal
  • Quality, Risk Management and Compliance Consultant
    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


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


  • Environmental Law
    Real Estate Law
  • Corporate Law
  • Intellectually stimulating people
  • Creative writing
  • International Folklore
    generational stories from other countries


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

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 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.  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)


  • Always Question for it is to your own demise should you not.
    Always Question for it is to your own demise should you not.
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    A true heroic socioeconomic intellect  or hypocrite?
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    My Name in lights at Victory Field!



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