Interactive Compliance Labs for BDs & IAs - Dallas

Hank Sanchez
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, compliance and due diligence. Before joining Bates, Mr. Sanchez served as Managing Director of a compliance consulting firm, similar to his role at Bates Group, 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, and as Counsel to Internal Audit. 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.

Jeff Kern

Jim Downing
James “Jim” Downing is the Chief Compliance Officer of Jones Lang LaSalle Securities. Jim held similar roles at Morningstar, Aon, BMO Asset Management, and JP Morgan. Jim has 22 years experience with Investment Adviser, Investment Company and FINRA compliance. Jim has his series 7, 24, 27, 53, and 66 from FINRA. Jim actively participates on several NSCP committees and was formerly the Chair of the Board. Jim is the current Chair of the FINRA Continuing Education Council. Jim is also the author of "The Fundamentals of Compliance" available at bookstores worldwide.

Shawn Bostic
Shawn Bostic is Assistant Vice-President of Regulatory Compliance for Kestra Financial. Shawn is primarily responsible for overseeing Regulatory Requests, Exams, Customer Complaints, Policies, and Annual Compliance Requirements. Shawn began her career in the early ’90s with Dain Rauscher in Dallas, Texas. Since then, she has spent the next 20 years as a compliance professional for mutual fund companies, consulting firms, and various broker-dealers before joining Kestra in September 2019. She holds a Doctorate in Management and a Master’s Degree in Public Administration. She was awarded a distinguished advanced studies scholarship for her presentation at Cambridge University on the challenges of self-regulation within the financial services industry. Shawn’s articles on compliance have been published both in the US and internationally. She continues her research pursuits within the study of leadership and behavioral compliance.