Alan Halfenger is a Managing Director in Treliant’s New York office. A former Chief Compliance Officer from the securities and investment management industry with experience in Anti-Money Laundering (AML), anti-corruption, sanctions, and know-your-customer compliance, Alan advises clients on regulatory risks related to global securities and commodities dealings, as well as financial crimes compliance. He has had a distinguished twenty-five-plus year career in the financial services industry, both as a consultant and an in-house compliance and legal professional.
Prior to joining Treliant, Alan was a partner at Optima Regulatory Partners, where he led the firm’s global private-funds practice and was responsible for its regional program focused on client service delivery in cities such as San Francisco, Boston, Dallas, and Chicago. Before Optima, Alan was a partner at ACA Compliance Group, providing strategic, risk, regulatory, and governance consulting services to a broad range of traditional and alternative asset managers, insurance companies, global investment banks, and retail broker-dealers. Also, at ACA Compliance Group, Alan served as a subject-matter expert on pay-to-play, RegTech, and financial-crime issues; led the firm’s outsourcing business; and was global leader of the firm’s diversified financial services practice.
Prior to joining ACA, Alan served as global chief compliance officer (CCO) for Bain Capital LLC, where he supported the firm’s private equity, venture, credit, fund-of-funds, and hedge fund advisers. During his ten-year tenure at Bain, Alan developed the global compliance, control, and risk programs and served on a variety of the firm’s management, operations, trading, risk, and technology committees. He also served as the CF10 control function for Bain’s U.K. business entities, established the firm’s first broker-dealer, created structures for the European Union’s markets in financial instruments directive (MIFID), and registered the firm in numerous countries.
Previously, Alan served in various legal and CCO roles at JPMorgan Chase, Citibank, NatWest Markets, and Chemical Bank in areas such as private banking, retail brokerage, asset management, insurance, credit and equity derivatives, investment banking, and trading.
Alan earned his JD from the Syracuse University College of Law and his BS from the New York University Stern School of Business. He has held Series 4, 7, 9, 10, 24, 53, and 63 licenses, and in 2016 was honored as one of Compliance Week’s Top Minds.
Areas of Specialization
- Anti-Bribery and Corruption
- Anti-Money Laundering / Bank Secrecy Act
- Compliance Audits
- Compliance Programs
- Corporate Investigations
- Data Privacy
- Due Diligence
- Email Review / Surveillance
- FinTech Compliance
- Hedge Funds and CPOs
- Market Regulation & Insider Trading Compliance
- Marketing and Advertising Compliance
- Operational Risk
- Private Equity Compliance
- Regulatory Exam / Management
- Risk Assessments
- Securities Compliance / Brokerage
- Securities Compliance / Investment Advisory
- Securities Compliance / Investment Company
- Third-Party Risk Mitigation
- Valuation and Performance