Adam J. Reback leads ReGroup’s National Private Funds Practice, focusing on the regulatory and compliance needs of Hedge Funds, Private Equity Funds, Registered Investment Advisers, Broker-Dealers and Independent Research Providers. Adam is based in New York City.
Adam has had 25 years of investment management industry experience and 18 years as a sitting Chief Compliance Officer. He was CCO of an SEC and NFA registered multi-strategy hedge fund manager with long/short equity and quant strategies comprising $1.6 billion AUM. Adam was member of an Operations Committee; led governance restructure and jointly oversaw HR, IR, Operations, and IT Departments. He also managed legal and regulatory compliance matters globally, including the design, implementation and assessment of compliance programs. Adam was the CCO of publicly-traded asset management firm with global business comprised of long-only SMA platforms, hedge funds, mutual funds and broker-dealer subsidiary comprising $16B AUM. Previously, he held FINRA Series 7, 9, 10, 24, 62, and 63 registrations.
Adam is a regular contributor to various investment industry periodicals and frequent speaker on a wide variety of topics, including insider trading, trade desk oversight, data integrity/big data compliance, third party 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 and is a frequent speaker at various industry events and conferences including GAIMOps, ComplianceWeek, IA Watch, NSCP, OFA, NRS, RCA, PEI SuperReturn and Dow Jones. Adam is a member of NSCP, SCCE and FBICAA.
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.