Broadridge appoints Hope Jarkowski as Chief Legal Officer

Rick Steves

“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.”

Broadridge has announced the appointment of Hope Jarkowski as Chief Legal Officer.

Succeeding Keir Gumbs, the new CLO will oversee Broadridge’s legal, compliance, regulatory, and government affairs, serve as the primary legal advisor to senior management and the Board of Directors, and help lead Broadridge’s internal policy efforts.

Hope Jarkowski will also serve on the Broadridge Foundation Board, Risk Committee, and Environmental, Social, and Governance (ESG) Committee.

Tim Gokey, Chief Executive Officer of 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. 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.”

Hope Jarkowski joins Broadridge from NYSE

Hope Jarkowski joins Broadridge from the New York Stock Exchange (NYSE), where she most recently served as General Counsel. In that role, which lasted over two years, she provided legal counsel and regulatory strategy across the NYSE’s business segments.

She joined NYSE as Head of Equities in January 2021, when the meme stock craze took the world by storm. Her responsibilities included strategy, product development, and relationship management across NYSE’s businesses. Previously she served as co-head of Regulatory Affairs for NYSE’s parent, Intercontinental Exchange, Inc. (NYSE: ICE).

Earlier, she held positions with the U.S. Securities and Exchange Commission as senior counsel to Commissioner Troy Paredes and as senior securities counsel to the U.S. Senate Banking Committee. Prior to her government service, she practiced securities law at both a Fortune 100 law firm and FINRA.

Frank Troise replaces Ray Tierney at Broadridge

Last week, Broadridge announced Frank Troise as the new President of Broadridge Trading & Connectivity Solutions and Vice Chairman of Broadridge Capital Markets.

Taking over from Ray Tierney, who is moving into an advisory role after three years at the helm, Frank Troise is set to lead the company’s Trading & Connectivity division into a new era focused on streamlining and enhancing trading operations across the globe.

Broadridge aims to further enhance trading optimization for a wide range of clients including global banks, broker-dealers, and independent trading entities.

Frank Troise is celebrated for his extensive background of over 35 years in trading and technology. His recent role as Co-Chief Executive Officer and Board Member at Pico Quantitative Trading showcased his ability to drive growth and scalability. His career also includes significant leadership positions at Investment Technology Group (ITG), J.P. Morgan, Barclays, and Lehman Brothers, and consultancy roles at Booz Allen and Andersen Consulting (now Accenture).

It was in May 2021 that Broadridge Financial Solutions acquired the provider of cross-asset trading solutions covering the full trade lifecycle in a $2.5 billion deal.

A few months later, under the leadership of Ray Tierney, Itiviti integrated its NYFIX Matching solution with the portfolio, order, and investment management system from Broadridge. That was only the first of many product integrations between Itiviti and Broadridge.

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