lisa watkins resume
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LISA WATKINS RESUME Page | 1
LISA E. WATKINS, JD Versailles, KY (859) 533-6564 [email protected] linkedin.com/in/lisawatkinsky
FINANCIAL & LEGAL PROFESSIONAL – 15+ YEARS’ EXPERIENCE
Achievement-oriented professional with extensive experience in financial and legal leadership. Provides in-depth legal
knowledge with Juris Doctorate (JD) from Nashville School of Law. Accomplished investment industry professional with
Claritas® Investment Certificate awarded by the CFA Institute. Experience extends to bank-wide compliance with state &
federal regulations and working directly with audit committee and Board of Directors. Value-centric leader able to
manage multiple projects at once. Highly-effective communicator relaying complex information in easily understood
language. Thrives in fast-paced environments providing forward-thinking, innovation, and professionalism at all times.
CO RE CO M P ET EN C I ES
FINANCIAL ANALYSIS
REGULATORY COMPLIANCE
INTERNAL CONTROL
MANAGERIAL FINANCE
RISK MANAGEMENT
PROJECT MANAGEMENT
INVESTMENT ANALYSIS
FINANCIAL REPORTING
PROCESS IMPROVEMENT
PRO F ES S IO NA L EXP E R IE N CE
KENTUCKY RETIREMENT SYSTEMS
Investment Analyst – Frankfort, KY 2014 – Present
Serves as Investment Analyst performing operational and back office functions for alternative investments, including
private equity, real assets, real estate, and absolute return. Prepares private equity subscription agreements and investment
related documents. In addition, reconciles monthly investment reports generated by custodial bank and investment
managers.
KEY RESPONSIBILITIES:
Processes capital calls and distributions via system created for tracking redemption requests and receipt of funds
Supports senior managers by assembling data, statistical analysis, and studies regarding industries and securities
Verifies monthly interest and dividend payments against custodial bank’s income projection reports
Licensing & Registration Program Coordinator – Frankfort, KY 2013 – 2014
Provided leadership as Licensing & Registration Program Coordinator reviewing broker-dealer firm, agent, investment
adviser representative, and investment adviser registrations on CRD/IARD database.
KEY RESPONSIBILITIES:
Applied statutes and regulations determining applicant status – denied, registered, or conditionally registered
Reviewed CRD/IARD database for new state and foreign state investment adviser and investment adviser
representative registration filings
COMMONWEALTH OF KENTUCKY
Unemployment Insurance Appeals Referee – Frankfort, KY 2010 – 2013
Conducted hearings on disputed unemployment insurance benefits claims brought up on appeal from determinations of
the agency in this Unemployment Insurance Appeals Referee position. In addition, issued written decision containing
Findings of Facts based on submitted evidence.
KEY RESPONSIBILITIES:
Maintained extensive knowledge of policies, procedures, and provisions of statutory and common law covering
unemployment insurance
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LISA WATKINS RESUME Page | 2
UNIVERSITY OF KENTUCKY
Senior Internal Auditor – Lexington, KY 2005 – 2009
Served as Senior Internal Auditor collaborating with Office of Legal Counsel, Campus Police, Human Resources, and
Commonwealth Attorney’s Office. Rectified audit findings and effectively performed financial audits and compliance
reviews.
KEY RESPONSIBILITIES:
Specialized in fraud investigations, conflicts of interest, and financial transactions analysis
Attained Certified Fraud Examiner (CFE) Certification and Certification in Control Self-Assessment (CCFA)
KENTUCKY BANK
Compliance Officer / Community Reinvestment Act Officer – Paris, KY 2002 – 2003
Supervised bank-wide state and federal regulations compliance in this Compliance Officer / Community Reinvestment
Act Officer position. Additionally, supported FDIC and state bank examiners during bank audits.
KEY RESPONSIBILITIES:
Reported compliance-related issues to the Board of Directors at monthly meetings
Managed bank-wide training for new federal regulations, including the Patriot Act and Bank Secrecy Act
STATE OF TENNESSEE
Securities Investigator – Nashville, TN 1998 – 2000
Served as Securities Investigator regulating stockholder activities in accordance with state and federal securities laws.
Conducted investigations to ensure proper compliance. In addition, testified in administrative hearings regarding
investigative findings and recommendations.
KEY RESPONSIBILITIES:
Investigated complaints from investors while gathering facts and evidence to substantiate or dismiss claims of
fraud or misconduct
ED UC AT IO N
JURIS DOCTORATE (JD) – Nashville School of Law, Nashville, TN
BACHELOR OF ARTS (BA) IN ECONOMICS – University of Tennessee, Knoxville, TN
CE RT IF I CA T IO NS
CLARITAS® INVESTMENT CERTIFICATE – Certified Financial Analyst Institute
CERTIFIED FRAUD EXAMINER – Association of Certified Fraud Examiners
PUB L IC SE RV I CE
UNITED WAY OF FRANKLIN COUNTY KY – Community Investment Committee Panel Member
ASSOCIATION OF CERTIFIED FRAUD EXAMINERS (ACFE) – Advisory Council Member
AF F IL I AT IO NS
ASSOCIATION OF CERTIFIED FRAUD EXAMINERS – Member