Optima Partners adds Bain Capital’s ex-chief compliance officer as partner

Optima Partners, a regulatory compliance advisory firm, has named Alan K. Halfenger as a partner. Halfenger is a former chief compliance officer at Bain Capital LLC.


NEW YORK, June 5, 2018 /PRNewswire/ — Optima Partners, a leading global regulatory compliance advisory firm, today announced that Alan K. Halfenger, who served as Bain Capital LLC’s chief compliance officer and in various senior compliance and legal roles at global financial institutions, was named as a Partner at the firm.

In his role at Optima, Mr. Halfenger will focus on the regulatory and compliance needs of private equity managers, hedge funds, broker-dealers and global financial services firms. Optima CEO Jonathan Saxton commented on the appointment of Mr. Halfenger: “Our reputation as a trusted adviser and go-to resource for CCOs and CFOs is essential to our approach and growth. Alan’s deep knowledge and broad regulatory expertise will be significant contributors to our mission and to our clients. He joins a team of highly talented regulatory compliance specialists advising over 500 clients globally.”

Mr. Halfenger commented: “I am thrilled to be given the opportunity to join the Optima team and I look forward to working closely with the firm’s clients to address their specific needs and risks. In my role, it is critical to help CCOs balance the ever-expanding requirements of regulators, boards and investors, with the need to manage costs and compliance headcount.”

He went on to say that, “Optima applies a unique approach that is focused on three critical areas: helping clients in a cost-controlled manner, staying current on regulatory changes and providing responsive, practical and proactive advice to our clients. All of which are critical to helping clients to stay ahead of the curve.”

Mr. Halfenger has worked with several high-profile firms during his extensive and distinguished career in the financial industry. They include Bain Capital in Boston, where he served as the firm’s first CCO and supported the firm’s private equity, venture capital, credit, fund of fund and hedge fund businesses. During his decade-long tenure at Bain, Mr. Halfenger developed the firm’s global compliance, control and risk programs.

Prior to joining Optima, he served as a partner at another New York-based regulatory consulting firm. He led the firm’s outsourcing and compliance support program, as well as serving as the practice leader for their diversified financial services division, which focused on the needs of the largest global institutions. Mr. Halfenger also worked as a CCO and lawyer in several global business at J.P. Morgan Securities, Citibank Private Bank, NatWest Markets Group Inc. and Price Waterhouse.

Mr. Halfenger is a member of several industry associations, as well as a noted author and speaker on a variety of compliance, securities operations and technology topics. Recently, he was honored as one of Compliance Week’s Top Minds 2016.

He received a JD from the Syracuse University of Law and a Bachelor of Science degree from the NYU Stern School of Business and has held Series 4,7,9,10,24, 53 and 63 licenses.

Alan can be contacted at Alan.Halfenger@Optima-partners.com.

About Optima Partners
Optima Partners is a leading global regulatory compliance and risk management advisory firm providing cost-effective services tailored to clients’ individual needs. The firm provides a truly global service locally, achieved by ensuring that its industry recognized experts work closely with a diverse group of clients, ranging from hedge funds, private equity firms and investment banks. Optima Partners’ unrivalled expertise in the global regulatory landscape, strong relationships with regulators, and a deep commitment to provide clear and practical counsel gives clients the services they need to meet the demands of a complex and dynamic financial regulatory environment. The firm currently advises more than 500 clients across its three global offices in New York, London and Hong Kong. For more information on Optima Partners, go to the firm’s website at www.optima-partners.com.