Steven Goldberg

Steven Goldberg is a compliance professional with deep expertise in banking and trading environments. The first 10 years of his career were spent on Wall Street’s leading FX and commodities trading floors followed by 16 years in Risk and Compliance. He brings that experience to bear on the largest most complex compliance projects, delivering them with efficiency, empathy and skill.

Steven Goldberg wrestled his way through college. This is not a metaphor; Steven actually paid his college fees by wrestling. Injury ended his wrestling career, putting pay to serious Olympic aspirations, but he’s still a third degree Tae Kwan Do Black Belt. The fight has not gone out of him.

Like a martial artist with only one willing participant, compliance can become an adversarial process in which an outside party foists unwelcome change on the host organisation.

Steven’s skill lies in creating mutually agreeable compliance processes, this  comes from the shape of his career: he was an FX and Commodities trader for 10 years before moving into compliance.

“The most difficult, and the most important aspect of compliance is often getting over the last yards – reaching a place where new systems and structures are adopted and working well. Making these hard yards is far easier if you understand the personalities and the environment of a bank or a trading floor.”

These years of experience at the coalface of trading mean when he talks to his clients about trading anomalies or securities, he does so from a position of hard-won expertise, in a language they understand. The effect is to create a high level of trust, enabling Steven to institute highly effective compliance processes, which the host organisation welcomes.

 

“The most difficult, and the most important aspect of compliance is often getting over the last yards – reaching a place where new systems and structures are adopted and working well. Making these hard yards is far easier if you understand the personalities and the environment of a bank or a trading floor.”

These skills helped Steven to implement a thorough and effective reviews for  top tier global banks with serious compliance issues.

“My background meant I was able to do far more for our client than review their compliance processes – I could identify the securities  issues plaguing their teams and recommend the compliance systems that would meet their specific needs.”

The review process for this major global bank began with interviewing 300 of their senior executives. Steven and his business partner Dennis Greenberg deployed all their insight and empathy to glean the information they needed, and gain scores of allies in the organisation.

Steven’s blend of skills – his ability to understand the before and after of compliance –  is typical of Temple Grange Partners, where the depth and variety of our consultants’ experience help us to reach robust, realistic solutions quickly, efficiently and with a minimum of disruption to our clients’ businesses.

SUMMARY

Steven Goldberg, Partner

  • Head  of Capital Markets at Crowe Horwath LLP
  • Managing Director at Mayfair Capital Markets
  • Managing Director at CR Capital
  • Executive Director at  Merrill Lynch
  • Sr. VP  at Morgan Stanley
  • Executive Director at Lehman Brothers