Adam J. Reback is a Director at Optima Partners, a leading global regulatory compliance advisory firm. Adam focuses on supporting the regulatory and compliance needs of Hedge Funds, Private Equity Funds, Registered Investment Advisers, Broker-Dealers, Independent Research Providers, and other global financial institutions. Adam is based in New York City. Adam has 25 years of investment management industry experience including 18 years as an in-house Chief Compliance Officer.
Prior to joining Optima, Adam was a Partner & CCO of J. Goldman & Co., L.P. (JGC), an SEC and NFA registered multi-strategy hedge fund manager with long/short equity and quant strategies comprising $1.6 billion AUM, where he served on the firm’s Operations Committee; led governance restructuring and jointly oversaw the HR, IR, Operations, and IT Departments. At JGC, Adam managed all legal and regulatory compliance matters globally, including the design, implementation and assessment of the firm’s compliance programs. Previously, Adam was the CCO of John A. Levin & Co., a publicly traded global asset management firm comprised of long-only strategies, hedge funds, mutual funds and a broker-dealer subsidiary comprising $16B AUM. Adam has held management positions on the sell side at Ladenburg Thalmann & Co. and Gruntal & Co. He held FINRA Series 7, 9, 10, 24, 62, and 63 registrations.
Adam is a regular contributor to various investment industry periodicals and frequently speaks at numerous industry events and conferences on a wide variety of topics, including insider trading, trade desk oversight, data integrity/big data compliance, third party vendor due-diligence, CCO liability and managing regulatory examinations and investigations. In 2016, Adam was invited by the SEC to speak at their Annual National CCO Outreach program.
Adam served on the Board of Directors of The National Society of Compliance Professionals (“NSCP”) from 2012-2018 where he created and chaired the NSCP Private Funds Committee. Adam attended New York University and completed the FBI Citizens Academy.