Hank Sanchez

Managing Director

Bates Group LLC

Henry “Hank” Sanchez, Jr. is a Bates Group Managing Director and a seasoned compliance and legal professional with over 35 years of securities industry experience working with a wide range of companies, from small financial firms to national clients. He has extensive expertise in risk management, investment advising, financial legal issues, risk assessment, and compliance and due diligence. Before joining Bates, Mr. Sanchez served as Managing Director of a compliance consulting firm, where he was engaged to act as contract Chief Compliance Officer, analyze compliance programs, assess product due diligence, develop a Conflicts of Interest program, testify as an expert witness, act as Independent Consultant on regulatory matters, and consult on a wide variety of issues. Prior to that, he was with LPL Financial Corporation, where he held compliance leadership roles as Vice President of Surveillance/Governance, Sr. Vice President/Chief Compliance Officer. For more than 10 years, Mr. Sanchez was a regulator with both the SEC and FINRA. While with the SEC, he was assigned to the SEC’s Division of Market Regulation, working in the Office of Trading Practices, and the Office of Inspections, Options Branch. At FINRA, he served as regional counsel in FINRA Regulation’s Enforcement Department. He is also a FINRA Arbitrator. Mr. Sanchez received his B.A. in Criminal Justice from Richard Stockton State College, his J.D. from Rutgers University School of Law – Newark, and his LLM with a Securities Regulation concentration from Georgetown University Law Center. He has also received a Compliance and Regulatory Professional Certification from the NASD/Wharton Institute. Mr. Sanchez is a frequent speaker at securities industry conferences and is also an accomplished writer, whose work has appeared in securities industry-related publications throughout his career.

Related Sessions

View full schedule

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org