Erma Goldberg

Erma Goldberg is a Bates Consulting Expert who has 45 years of brokerage experience, thirty in direct supervision of branch office personnel and account activity as both an Operations Manager and an Administrative Manager at large Broker-Dealers. Additionally, Erma has fifteen years of experience in a home office policy management role. Her years in the branch provided exposure to the full product platform as well as supervision and compliance with policies, procedures and attaining above average audit results. She was responsible for the supervision of the support staff, operations, account activity, and the associated workflow, including business correspondence and client complaints.

In her most recent role, Erma was responsible for the management of the Wealth Management compliance policy and supervisory procedure manuals for Merrill. This required writing and revising approximately 1,100 policies and supervisory procedures in conjunction with subject matter experts and key stakeholders to both mitigate risk and deliver guidance that field management could implement with practicality to conduct business. This included governance protocols for approval from leadership and required business representatives, as necessary as well as the communication of the implementation plans for new requirements and subsequent quality assurance testing.