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.