Broadridge Financial Solutions has recruited Hope Jarkowski to become its new chief legal officer (CLO), effective May 6. She will join Broadridge from the NYSE, where she has been general counsel since 2022.
Jarkowski succeeds Keir Gumbs, who was Broadridge’s CLO until November 2023 when he joined Edward Jones as general counsel to lead the firm’s legal and compliance teams.
Before becoming NYSE general counsel, Jarkowski was head of equities for the exchange, with responsibility for strategy, product development and relationship management across the NYSE’s businesses. She was previously co-head of regulatory affairs for Intercontinental Exchange, NYSE’s parent company, and before that was a partner with Delta Strategy Group.
Before moving into the corporate sphere, Jarkowski worked at the SEC as senior counsel to commissioner Troy Paredes and as senior securities counsel to the US Senate Banking Committee. Earlier in her career she was counsel at law firm Bingham McCutchen and was an attorney in the office of general counsel at the Financial Industry Regulatory Authority, according to her LinkedIn profile.
In her new role, Jarkowski will oversee Broadridge’s legal, compliance, regulatory and government affairs functions, be lead legal adviser to senior management and the board and help lead the company’s internal policy efforts. She will also sit on the Broadridge Foundation Board, risk committee and ESG committee.
Tim Gokey, CEO of Broadridge, says in a statement: ‘Hope is an established leader with strong expertise in securities regulation, corporate governance and regulatory affairs, making her the perfect person to lead our legal and regulatory function as we execute on our go-forward strategy. As we take advantage of key trends shaping our industry and financial markets more broadly, Hope’s counsel, experience and leadership will bring meaningful impact to Broadridge and our industry.’
Gumbs is board chair at the Society for Corporate Governance. Before joining Broadridge, he spent three years as vice president, deputy general counsel and deputy corporate secretary at Uber. He was previously a partner and co-chair of the securities practice at Covington & Burling. Before moving in-house, Gumbs spent six years with the SEC, including as counsel to commissioner Roel Campos.
Ben Maiden
Ben Maiden is the editor-at-large of Governance Intelligence, an IR Media publication, having joined the company in December 2016. He is based in New York. Ben was previously managing editor of Compliance Reporter, covering regulatory and compliance...
