LISA WATKINS RESUME Page | 1

LISA E. WATKINS, JD Versailles, KY (859) 533-6564 lisasecurities@aol.com 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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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