Ira Goldberg

Information

Position

Principal

Company

RSM

About

Ira Goldberg leads RSM’s Global Banking practice for Regulatory, Compliance and Financial Crime. With over 30 years of experience in senior leadership roles across global financial institutions and regulatory bodies, Ira brings deep expertise in managing complex regulatory relationships, compliance and supervisory frameworks, and audit functions. His career includes serving as Chief Compliance Officer of a private bank, Global Head of Compliance Testing and Risk Assessments, Chief Auditor for Legal, Compliance, Financial Crime and Culture, and Deputy Director of FINRA’s District 10 office. Ira is widely recognized for delivering strategic insights and value-added services to clients navigating regulatory challenges across jurisdictions. Core Areas of Expertise • Regulatory Compliance & Investigations: Extensive experience leading internal investigations, regulatory examinations, and remediation efforts across U.S. and international jurisdictions. Has worked with regulators including the FRB, OCC, CFPB, FDIC, SEC, FINRA, CFTC, NFA, and global counterparts. • Transformation & Remediation: Led large-scale, end-to-end transformation projects involving regulatory engagement, corrective action planning, and board-level reporting. • Audit Leadership: Designed audit universes, conducted completeness reviews, managed global audit delivery programs and performed QA assessments for internal audit functions. • Culture & Conduct Risk: Developed and led culture reviews across all three lines of defense and multiple geographies, focusing on ethics, conduct, and governance. • Program Development & Testing: Developed and led compliance testing programs for global banks across all lines of business. • Specialized Testing Initiatives: Designed testing frameworks for Anti-Bribery and Corruption programs, ethics hotlines, customer complaint handling, vulnerable customer initiatives, fraud programs, and governance reporting. • Risk Management & Automation: Leads the development of advanced compliance risk assessments and testing programs, including forward-looking dashboards and rogue trader monitoring systems. • AI Governance & Assurance: Subject matter expert on industry best practices for both the implementation and audit of Artificial Intelligence systems, with a focus on regulatory alignment, ethical use, and control frameworks.