Corporate Consulting, Compliance and Risk Management

LISA MARIE WAUGH

**************@*******.*** Plainfield IN 46168 317-***-****

http://www.lisamariewaugh.com/

Education

Graduate Certificate Regulatory Compliance and Analysis

Widener University School of Law (August 2015)

Master of Jurisprudence in Corporate and Business Law (MJ)

Widener University Delaware Law School (August 2015)

Bachelor of General Studies- Minors: Criminal Justice/Criminology and Consumer Finance (BGS) Ball State University (May 2013)

Associates of Applied Science in Legal Assisting: Litigation

Tidewater Community College (Dec. 2001)

Associates of Applied Science in Legal Assisting: General Practice

Tidewater Community College (Dec. 2001)

Professional Proficiency & Association

oIAPP (International Association of Privacy Professionals) Member

oCIPP and CIPM Candidate

oVendor Risk Management

o Financial Compliance: Contract Analysis, Invoice to Contract;

o IT Risk Mgmt.: IT-Data Security-Identify Risks (Internal Strategic Confidential Business Information, PCI, PII, etc.), Determine appropriate due diligence of vendors: ISO 27001 Cert. (SIG, SIG Lite.), SSAE16

oQuality Assurance Internal-External Interface, Background research, Onsite Audits

oVendor Risk Management Policy creation and analysis (including third party)

oCompliance and Legal-Case Research

oWestlaw Next Certified

oAdvanced Research and Training in the following Regulatory Rules and US laws:

Federal Sentencing Guidelines for Organizations; Investigation knowledge; Administrative Search Warrants (4th Amendment applicability)

FINRA; SEC; Securities Exchange Act of 1934 (as Amended 2012); Sarbanes-Oxley Act (SOX); Dodd-Frank Wall Street Reform and Consumer Protection Act

Anti-Money Laundering/Bank Secrecy Act/Patriot Act (AML/BSA), OFAC (Office of Foreign Asset Control- Sanctions, Special Designation Lists); FCPA (Foreign Corrupt Practices Act)

DHHS: HIPAA, PCI, PII, Bus. Assoc. Agreements (BAA), Safe Harbor Rules

oLegal and designated topic research (Case Law, Statutes-State Federal-Regulatory Agencies, House/Senate-Bill monitoring -Federal Register, CFR)

oAudit, Integrity and Compliance program drafting, analysis, and consulting

oProactively identify and assess risks, identify trends, analysis of controls and testing results, presenting results and recommendations for improvements to management, and drafting audit reports using best practices

oContract Law and Administration

oDeveloped expertise in drafting legal contracts/agreements with strategic client position, risk management, research, through years of education, training and experience in legal, creative and analytical writing and legal research

oSoftware: Excel, Word, PowerPoint, Archer, Ariba, SharePoint, SAP

Experience

Global Information Security Intake Consultant - Vendor Risk Management

Liberty Mutual (Consultant Contract via Protivity) 12/2015 – 9/2016

oManagement of IT security due diligence requirements engagements involving third parties

oVendor engagement audits

oInitial assessment determination, Manual administration, Multi-vendor Project strategist

oManagement of Book of Records

oArtifact Requests, Review and Archiving

oIdentification and Determination of vendor required IT Security due diligence (e.g. ISO 27001 - SIG, SIG Lite, SSAE16) of all engagements such as:

oSoftware purchases-implementation, Cloud, Security, Data Management, Staff Augmentation, etc.

oAny engagements/programs/contracts that involved data: PCI, PII, PHI, HIPPA, SOX, Dodd Frank, International, Internal Strategic Business Information

oGlobal Enterprise Risk Management Project member for “hostile vendors”

oSubject matter and vendor background research

oNotification of analysis and procedures to various levels of staff, management and executives

oDepartmental Operational meeting and reports delineation / preparation

Regulatory Compliance Consultant

Self Employed Regulatory Compliance Consultant 10/14 - 11/15

oER Department reconfiguration and procedures modification to ensure HIPAA, PHI, PII compliance and to minimize risk to organization

oContract Administration Compliance project involving FDA, UDSA, EPA Regulations

oDrafting and research of vendor risk management policy for audits and the training consulting of vendor law firms (including third party)

oMedical Device submission research and findings memorandum FDA

oPCI, SOX, Dodd-Frank Summaries and Training manuals

Compliance and Quality Assurance Consultant

IU Health West Hospital’s PFAC (Patient and Family Advisory Committee) 3/14 – 11/15

oAppointed two-year committee member volunteer wherein I collaborated with members, management and executives using Six-Sigma, Agile and other various strategies to ensure compliance, quality standards and improvement

Sr. Contract Administrator IT

Franciscan Alliance, Inc. (via Beaconhill Staffing- temporary assignment) 7/14 - 9/14

oAnalysis, drafting and negotiation of vendor IT contracts in Data Center for 13 hospitals of the non-profit organization

oEnsure compliance with applicable laws (BAA, HIPAA, PHI, PII, PCI), corporate governance

oProvided vendor risk management (third party), contract and objective consulting to management and business owners

Sr. Contract Administrator /Vendor Risk Management

Navient Solutions, Inc. and Sallie Mae 4/14 - 7/14

oAnalysis and abstraction of vendor contracts for all business markets

oProvided vendor risk management (third party), contract and objective consulting to management and business owners

oDrafted on site vendor audits for law firm vendors

oAssisted in various projects relating to the dissolution of Sallie Mae and the formation of Navient Solutions Inc. and Sallie Mae Bank (contracts, assignments, etc.)

Expanded Career Experience

Managing Director

Valentina Research & Management, LLC Plainfield, IN

Quality Analyst (Specialist)

JPMorgan Chase Indianapolis, IN

Corporate Contracts Paralegal

Eli Lilly & Co. Indianapolis, IN

Corporate Paralegal

The Registry Indianapolis, IN

Collections Paralegal

Osterhoudt, Prillaman, Natt, Helscher, Yost, Maxwell & Fergusson Roanoke

Commercial Real Estate Paralegal

Spotts Fain PC Richmond, VA

Residential Real Estate Paralegal

L. Richard Padgett, Jr. P.C. Salem, VA

Legal Administrative Assistant

Roussos Langhorne & Carlson, PLC Norfolk, VA

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