FacultyFaculty/Author Profile

Dana L. Platt

Citibank Private Bank
Head of Global Managed Investments Compliance
New York, NY, USA


Seasoned compliance professional with keen ability to proactively identify and fearlessly escalate issues using effective communication skills, enfranchising all relevant stakeholders, and actively contributing to risk remediation on a timely basis.

Highly effective communicator able to rapidly educate a global business and other functions on fiduciary requirements.

Successful leader in achieving enterprise-wide objectives of global cross divisional, cross functional initiatives on time and within budget.

Experienced evaluator of interdisciplinary impact of existing and proposed IT systems and processes.

Strategic thought leader in organization and execution of Compliance function through physical and virtual global teams, including,

  • Mitigating risk in regulatory exams
  • Harmonizing standards and practices globally
  • Eliminating institutionalized silos

13+ years’ in-house experience with global organizations employing matrix reporting.  Experienced in dealing with direct reports to C-suite management and all other management levels.

Experienced at regulatory exams; respected by regulators.

Deep experience Investment Advisers Act of 1940 and Investment Company Act of 1940, substantial experience Securities Exchange Act of 1934 and ERISA.  Broad experience with non-US investment management regulatory regimes and finding common ground for fiduciary principles.  Deep experience Reg 9. 

Deep experience in preparing SEC exemptions and preparing Form ADV.

Superior manager highly ranked by direct reports and recognized for successful mentoring.

Astute listener, resulting in effective relationships across seniority levels, functions, countries, ethnicities, genders, and other variables.

Education

University of Virginia School of Law, 1980

The University of Wisconsin-Madison, B.A. with distinction, 1975

Bar Memberships

Virginia, 1981 (inactive); Washington, D.C. 1984; New York, 1997

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