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.