Compliance Analyst Internal Audit

Heather Bernier Shawnee, CO *****

**********@*****.*** 303-***-****

linkedin.com/in/hbernierea/

LEGAL COMPLIANCE ANALYST AND OPERATIONS STRATEGIST Uncovering Critical Risk Blind Spots Through Relational Intelligence, Cross-Functional Foresight, and Bulletproof Compliance Documentation. IMPACT: 1,400+ Legacy Compliance Issues Resolved — SEC Filings Coordinated — 1,000s of Communications Audited for Regulatory Risk Regulatory-savvy leader with 15+ years of experience managing legal operations, SEC oversight, and cross-border compliance environments across private equity and law firm settings. Renowned for applying forensic-level attention to regulatory records, trade surveillance, conflict-of-interest investigations, and firmwide compliance infrastructure while strengthening governance systems through practical policy design, staff training, and internal audit readiness. Specializes in translating complex regulatory expectations into clear, defensible workflows—including SEC-aligned risk testing, analysis of employee conduct, and oversight of confidential correspondence and records management in multi-jurisdictional contexts. AREAS OF EXPERTISE

Legal Research and Analysis Contract and Agreement Review Conflict of Interest Checks

Regulatory and Compliance Reporting Policy Development and Risk Mitigation Case File and Docket Management

Data Privacy and Confidentiality Compliance Legal Document Drafting and Management Compliance Audits and Investigations

Litigation Support and Discovery Preparation Ethics Program Support and Governance Stakeholder Collaboration CAREER HIGHLIGHTS

Conflict of Interest Management

Investigated employee disclosures tied to

outside business activities, political

contributions, and personal trading, resolving

high-risk conflicts of interest through

documented internal reviews that enforced

firm policy and reduced potential for

regulatory or reputational fallout.

Regulatory Policy Interpretation

Interpreted and translated dense SEC

regulations, enforcement actions, risk alerts,

and legal commentaries into actionable

internal policies and explicit training

materials, closing regulatory blind spots

and anchoring the compliance program

firmly to evolving federal expectations.

SEC Filing Compliance

Orchestrated urgent SEC e-filings and

proxy voting operations for a portfolio of

~40 public mining companies by

coordinating deadlines, validating

ownership data, and aligning submission

formats to promote full compliance and

investor transparency across global markets.

PROFESSIONAL EXPERIENCE

RESOURCE CAPITAL FUNDS RCF MANAGEMENT L.L.C. – Denver, CO (Remote) October 2022–Present Compliance Analyst (May 2023–Present)

Served as the firm’s compliance system subject matter expert during a critical remediation phase, offering strategic insight into recordkeeping integrity and backend system functionality. Provided operational clarity to legal and compliance staff through one-on-one sessions focused on interpreting system logic, metadata classification, and task lifecycle management.

Built and executed quarterly and annual SEC compliance testing protocols by mapping procedures against regulatory requirements, documenting control gaps, tracking KPIs, and delivering risk assessments that influenced updates to internal policies and external filings.

Maintained and revised a living restricted securities list driven by ongoing portfolio activity, regulatory guidance, insider data access, and deal pipeline intelligence, guaranteeing trade preclearance accuracy and curbing rule breaches through proactive coverage expansion.

Audited thousands of employee emails and chat logs monthly under SEC Rule 204-2(a)(7), applying forensic review standards to isolate language or attachments that could compromise confidentiality, misrepresent material facts, or trigger regulatory inquiries.

Compiled AML comfort letters, investor due diligence packets, and KYC documentation by coordinating legal, operations, and investor relations inputs, enabling submission of audit-proof deliverables aligned with firm procedures, deadlines, and jurisdictional rules.

Reviewed the compliance management system’s long-neglected data backlog, identifying and resolving 1,400+ legacy issues—including duplicate records, expired entries, and pending filings—to bring the firm into full alliance with regulatory documentation requirements. RESOURCE CAPITAL FUNDS RCF MANAGEMENT L.L.C. – Denver, CO (Remote) October 2022–May 2023 Corporate Paralegal / Trainer

Requested explicitly by Resource Capital Funds to gap-fill and administer training and onboarding requirements for the new Corporate Paralegal to perform the tasks provided under the Corporate Paralegal / Executive Assistant for the General Counsel, and the Legal & Compliance Department (see role below, Jun 2014- Jul 2020).

Heather Bernier Page 2 of 2 **********@*****.*** 303-***-**** ASSISTPRO, LLC – Washington, DC (Remote) October 2022–April 2023 Virtual Executive Assistant / Personal Assistant

Managed executive-level operations for a public affairs firm serving the pharmaceutical and biotech sectors, coordinating high-stakes national travel, full-venue event logistics, and confidential correspondence. Oversaw EOS-based tracking by recording objectives, monitoring compliance- tied assignments, and generating summaries that supported board-level decision-making.

Supported the CEO of a national government affairs firm by auditing/managing executive calendars, leading logistical coordination for key events, monitoring project timelines, and centralizing communication flows to improve operational control and compliance insight.

Conducted detailed reviews of HR procedures and firm-level financial transactions by analyzing onboarding records, expense approvals, and personnel policies to promote internal compliance and reduce budget and payroll processing delays. CAREER BREAK July 2020–October 2022

Embarked on a personal sabbatical to sail across the Atlantic Ocean and Caribbean Sea, exploring over 20 countries while immersing in diverse cultures and languages. Gained valuable skills in adaptability, multilingual communication, and situational awareness, strengthening resilience, problem-solving, and calm decision-making under pressure. RESOURCE CAPITAL FUNDS RCF MANAGEMENT L.L.C. – Denver, CO June 2014–July 2020 Corporate Paralegal / Executive Assistant

Supported global legal operations through extensive document handling, international compliance coordination, and structured communications across law firms, government agencies, and internal departments. Functioned as a direct liaison between executives and legal counsel, managing confidential information, facilitating complex approvals, and maintaining continuity across sensitive matters.

Interpreted and verified complex legal documents (KYC records, subscription agreements, and confidentiality contracts) across multiple jurisdictions to confirm investor authority, validate documentation trails, and satisfy notarization, legalization, and apostille processes.

Led global rollout of Thomson Reuters Legal Tracker by customizing system setup, training legal teams, creating user documentation, and replacing manual billing and matter management processes with automated workflows that provided performance and spend analytics.

Managed all corporate governance activities, drafting, updating, and submitting filings with state and local regulatory bodies, and maintaining the corporate organizational chart

Authored and institutionalized a legal onboarding manual to guide new administrative hires through compliance workflows, document retention procedures, and matter coordination, increasing new hire productivity and fostering process uniformity across departments.

Directed internal and industry-facing events—including a 100+ guest anniversary celebration, firmwide holiday functions, and Denver’s inaugural mining law networking mixer—to reinforce the firm’s ethics culture and strengthen cross-functional relationships.

Additional responsibilities as the gatekeeper to the General Counsel’s calendar, coordinating and mastering international meetings, and all travel logistics.

GREENBERG TRAURIG LLP – Denver, CO February 2009–March 2014 Administrative Legal Assistant

Delivered end-to-end legal and administrative support across complex litigation matters, ensuring precision in filings, motions, and discovery management under firm and court-imposed deadlines. Served as a central organizer for case logistics, budget-sensitive billing, and day-to-day coordination with clients, experts, and court staff across multiple practice areas.

Oversaw all logistics in a construction defect case with 90+ parties by tracking court deadlines, managing service of process, organizing deposition schedules, and coordinating the most significant document production in the county to uphold court mandates and filing accuracy.

Drafted and organized estate planning and divorce documents for high-net-worth clients, attended confidential strategy meetings as notary and legal liaison, and executed deliverables with extreme discretion to protect client interests and legal integrity. EDUCATION AND CERTIFICATIONS

Bachelor of Science in Business, Colorado Christian University – Lakewood, CO (Anticipated Completion in 2027) Organizational Management (OM) Certification, International Association of Administrative Professionals (IAAP) TECHNICAL SKILLS

Regulatory Filing Platforms: SEDAR, SEDI, EDGAR

Compliance and Legal Tools: ACA ComplianceAlpha, Thomson Reuters Legal Tracker, eFront Invest, CGR Foundation Risk Assessment

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