Ana Suárez

Ana Suárez is a Bates Consulting Expert based in Puerto Rico. She has vast experience in Broker-Dealer and Investment Advisory Compliance. Before joining Bates, Ana was the Chief Compliance, Risk, and AML Officer for Santander’s Broker-Dealer and Investment Advisory Puerto Rico office for more than 25 years. As well, she has experience in legal matters including testified as key witness in enforcement actions.

Ana also served on Executive Committees for Grupo Santander Puerto Rico and supervised dual employees on its Private Banking Miami Office. At Santander, she was the Assistant Secretary of the Board of Directors of the Broker-Dealer and Investment Advisor. Also, Mrs. Suarez acted as an officer of the First Puerto Rico Family of Funds. She also served as the Chief Compliance Officer for Oriental Financial Services, a subsidiary of Oriental Financial Group (OFG). During her tenure at OFG, she gained experience in establishing and conducting Compliance Programs including policies and procedures, customer communication review, sales supervision, MSRB regulatory filings, Web CRD and FOCUS Reporting, and employee trading.

Ana began her career in the securities business at Credit Suisse First Boston, San Juan Branch, as the CFO and Compliance Liaison with the New York office. She holds FINRA Series 65 and completed Licenses Series 7, 24, 27 and 63 recently expired. Mrs. Suarez is a Certified Public Accountant.

Ana is a consultant and subject matter expert in these Practice Areas and Services:

Securities and Financial Services Litigation & Consulting
- Retail Securities
- Institutional Securities
Regulatory & Internal Investigations
- U.S. & Global Regulatory Investigations
- Internal Investigations
Data, Analyses & Analytics
- Early case Assessment
- P/(L) Analyses
AML & Financial Crimes
- Anti-Money Laundering
- Internal Investigations

Credentials

EXPERIENCE

Bates Group, Consultant Expert, Broker Dealer and Advisory Compliance, 2021 - Present
Atlas Asset Management, Chief Compliance Officer, 2021 - Present
Santander Asset Management, Guaynabo, PR, 2017 – Present; Chief Compliance Officer, 2017 – Present; Risk Officer, 2018 – Present; Administration Committee Secretary, 2018 – Present; Officer of the First Puerto Rico Family of Funds, 2017-Present
Oriental Financial Services, Chief Compliance Officer, San Juan, PR, 2011 – 2017
Puerto Rico Cash and Money Market, Secretary, 2011 – 2015
Santander Securities, Guaynabo, PR, 1997 – 2011; Chief Compliance Officer, Senior Vice President, and Assistant Secretary of the Board of Directors, 2001 – 2011; Vice President Compliance, 1997 – 2001
Santander Asset Management, Guaynabo, PR, 2001 – 2011; Chief Compliance Officer, Senior Vice President, and Secretary of the Board of Directors, 2001 – 2011; Officer of the First Puerto Rico Family of Funds, 2001 – 2011
BP Capital Markets formerly “CS First Boston,” Chief Financial Officer, 1996 – 1997; Comptroller, 1994 – 1996

EDUCATION

Bachelor of Science (BS), Accounting, Bryant College, Smithfield, RI

PROFESSIONAL QUALIFICATIONS/LICENSING

Certified Public Accountant

Member PRCCPA

FINRA Series 65 (Expired 7, 24, 27 and 63)