US-listed fintech company Broadridge Financial Solutions has hired Hope Jarkowski as chief legal officer, filling the position vacated by Keir Gumbs in November.

Jarkowski joins from the New York Stock Exchange (NYSE), where she has spent just over two years as general counsel. At Broadridge, she will oversee its legal, compliance, regulatory and government affairs functions and serve as the primary legal advisor to senior management. As well as leading its internal policy efforts, she will also serve on the company’s foundation board, risk committee and environmental, social and governance committee.

Lake Success, New York-based Broadridge provides technology and data services to the financial industry, including asset managers, banks and insurance companies.

Tim Gokey, CEO at Broadridge, said: “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… Hope’s counsel, experience and leadership will bring meaningful impact to Broadridge and our industry.”  

Prior to becoming GC at the NYSE in January 2022, she spent just over a year as head of equities at the exchange. Before that she spent almost five years as co-head of government affairs at NYSE parent company Intercontinental Exchange (ICE), with earlier stints as a partner at Delta Strategy Group, a senior counsel on the US Senate’s committee on banking, housing and urban affairs and counsel to then US Securities and Exchange Commission (SEC) commissioner Troy Paredes. She also spent six years in private practice at Bingham McCutchen, having started her career as an attorney at US financial regulator FINRA.

Gumbs, meantime, exited Broadridge in November to join US financial advisor Edward Jones as GC. He had spent just under two and a half years as Broadridge’s CLO, having arrived from Uber, where he was deputy GC. He previously worked in private practice at Covington & Burling for more than 13 years, having started his legal career at the SEC as a staff attorney in its corporation finance division and later special counsel in the office of chief counsel.

In other financial services moves, last week US investment management giant Vanguard lost its CLO Anne Robinson to IBM, while last month the Bank for International Settlements said it was lining up its deputy GC Dessislava Guetcheva-Cheytanova to take over the top job when current GC Diego Devos retires in September.