Since joining UBS AG in 2001, Dana Platt, Executive Director, has fulfilled a broad range of global Compliance and Legal roles across Investment Banking, Asset Management, and Corporate Center.
She began her career at UBS as Head of Global / Americas Compliance Education for the Investment Bank, where she was responsible for partnering with senior business managers, Legal and Compliance, and other control functions, to develop annually a comprehensive risk-based, global, regional and location-specific compliance program. The program covered web-based and in-person training, including role playing and interactive games. In this role, Ms. Platt also developed a system for recording and tracking training so that regulators' and auditors' questions regarding training could be answered specifically and promptly.
Following a role as senior counsel in the Investment Bank's Legal Department, Ms. Platt served as Senior Global Compliance Officer for Global Asset Management. In this role, she developed, deployed and reviewed risk assessment questionnaires, wrote Global Asset Management's annual risk assessment report required by UBS's Swiss regulator, FINMA and conducted company-wide reviews related to appropriate information sharing. Ms Platt also led initiatives to improve governance across the Compliance function globally, standardizing policies and processes, and developing, deploying and monitoring compliance training.
Ms. Platt also served as Chief Compliance Officer of the SNB StabFund, the Swiss government owned fund holding assets transferred from UBS during the 2008 financial crisis. As Chief Compliance Officer, Ms. Platt was responsible for establishing a robust, comprehensive compliance program that focused heavily on ethics and conflicts of interest for fiduciaries. This included working with senior management to establish a strong, effective governance structure, adopt and implement a complete set of policies and procedures covering the StabFund's business activities, and implement a well rounded training program. She also developed a risk-based program to test the effectiveness of policies and procedures and prepared an annual report describing the results of these tests, as well as certain ad hoc compliance issues that arose during the year.
Currently, Ms. Platt is Head of Global Compliance Strategy and Systems. In this role she works with senior Compliance and IT management across UBS to establish an annual, risk-based IT compliance program. This program is designed to enhance compliance controls through deploying global IT solutions and lower infrastructure and licensing costs through consolidating applications or implementing new global applications. Ms. Platt oversees budget development (including business case analysis) and project completion (including realization of promised benefits) across compliance globally.
Prior to joining UBS, Ms Platt was a partner in the Investment Management Department of Kirkpatrick & Lockhart LLP (now K&L Gates). Her practice focused on investment activities of global banks and investment by institutions in emerging markets.
Ms. Platt received her J.D. from the University of Virginia Law School and her bachelor's degree from the University of Wisconsin-Madison.