Alan Halfenger is a Managing Director in Treliant’s New York office. A former Chief Compliance Officer from the banking, securities, and investment management industry with experience in securities/brokerage, wealth management, private banking, and asset management.  Alan advises clients on compliance program development, regulatory risks related to global securities and commodities, and financial crimes compliance. He has had a distinguished twenty-five-plus year career in financial services, 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 major U.S. cities.  Before Optima, Alan was a partner at the ACA Compliance Group where he led the firm’s diversified financial services practice and co-headed the firm’s outsourcing center of excellence.  In this role he provided strategic, risk, regulatory, and governance consulting services to a broad range of traditional and alternative asset managers, FinTechs, insurance companies, global investment banks, and retail broker-dealers. Also, at ACA, Alan served as a subject-matter expert on pay-to-play, RegTech, and financial crime issues.

As a consultant, Alan has supported clients on a variety of strategic engagements focused on cost reduction, global compliance program redesign and development projects and program reviews, and mock audits.  These include the implementation of global outsourcing strategies, merger integration, technology implementation, and strategic resource passements.

Prior to consulting, 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.

Alan also served as the CCO of the JP Morgan Private Bank and was responsible for the compliance related tasks for the Chase and Bank One mergers.  Additionally, he has held 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