New York
Don Babbitt
Partner
Prior to joining Optima, Don was a Director at Kinetic Partners (acquired by Duff & Phelps and then Kroll), a compliance consultancy. In this role, Don advised clients on, and participated in, US Securities and Exchange Commission (SEC) on-site examinations; was lead team member on SEC mock examinations; advised clients and participated in National Futures Association (NFA) audits; drafted template compliance documentation; assisted clients and colleagues on complex issues of federal and state securities law; and assisted clients and colleagues with questions on the SEC's Form PF and the CFTC's Form CPO-PQR. Don was appointed Chief Compliance Officer and FINOP for an introducing broker-dealer while working for the firm as an investment banker. Don also worked as an attorney in the SEC’s Divisions of Investment Management, where he conducted examinations of investment advisers and registered investment companies, and Corporation Finance.
At Optima, Don serves as: one of our Examination Team leads who assists clients through SEC, FINRA and NFA examinations; co-head of the Marketing Review Team; and a member of the Broker-Dealer Group. Don leads mock examinations and assists with regulatory filings, private placement issues and insider trading advisory, as well as cross-border issues from the US perspective for Optima’s international clients. He is also responsible for drafting compliance documentation, client alerts and newsletters, and training materials.
Education
Don earned an MBA in Finance from Columbia Business School, a JD summa cum laude, 4.0 GPA, from the University of Dayton School of Law, and a BA in Political Science from the University of Alabama. Don is a member of the Massachusetts and Washington, D.C. Bar Associations.