Keir Gumbs Joins Broadridge as Its New Chief Legal Officer

Broadridge Financial Solutions, Inc. (NYSE:BR) announced that Keir Gumbs will join the Fintech organisation as its new Chief Legal Officer, effective from 27 July 2021.

Recently announced in an official press release shared with Finance Magnates, Keir Gumbs, a VP, Deputy General Counsel, Global Corporate, M&A and Securities and Deputy Corporate Secretary at Uber Technologies, has been named by Broadridge Financial Solutions, a global fintech leader, as its new Chief Legal Officer.

Gumbs will take over from Adam Amsterdam, who is retiring after almost three decades of leading the legal team at Broadridge. In order to expedite the transfer, Amsterdam will take on the challenging role of Senior Advisor.

Commenting on Amsterdam’s contribution, Tim Gokey, Broadridge's Chief Executive Officer said: "I want to thank Adam for 30 years of dedication and his unwavering commitment to developing a world-class legal function that has been vital to enabling Broadridge to operate in an increasingly complex and dynamic legal and regulatory landscape."

In the role, Gumbs will take the lead by overseeing Broadridge’s legal, compliance and physical security teams. He will assist in directing Broadridge's policy efforts. Additionally, he will serve as the primary legal advisor for the senior management and the Board of Directors. Moreover, he will become a member of the Broadridge Foundation Board, Risk Committee, and its Environmental, Social and Governance (ESG) committee.

Reviewing Gumbs Vocational Record

Prior to Broadridge’s announcement, Uber has been utilising Gumbs skills and experience for the period of three years. Most recently, he has been serving as the VP, Deputy General Counsel and Deputy Corporate Secretary at Uber Technologies Inc. Five months earlier, he received a promotion from being the Associate General Counsel, Global Corporate, M&A and Securities Deputy Corporate Secretary. During his time with Uber, he assisted in its transition to a public company. This required executing more than $18 billion in financing and M&A transactions and contributed to its ESG and corporate governance programs, according to his LinkedIn profile.

Before that, Gumbs was a Partner at Covington & Burling LLP until August 2018. For just over thirteen years, he advised public companies, non-profit organizations and others on corporate, corporate governance, securities Regulation Regulation Like any other industry with a high net worth, the financial services industry is tightly regulated to help curb illicit behavior and manipulation. Each asset class has its own set of protocols put in place to combat their respective forms of abuse.In the foreign exchange space, regulation is assumed by authorities in multiple jurisdictions, though ultimately lacking a binding international order. Who are the Industry’s Leading Regulators?Regulators such as the UK’s Financial Conduct Authority ( Like any other industry with a high net worth, the financial services industry is tightly regulated to help curb illicit behavior and manipulation. Each asset class has its own set of protocols put in place to combat their respective forms of abuse.In the foreign exchange space, regulation is assumed by authorities in multiple jurisdictions, though ultimately lacking a binding international order. Who are the Industry’s Leading Regulators?Regulators such as the UK’s Financial Conduct Authority ( Read this Term and transactional matters.

The US Securities and Exchange Commission benefited from his knowledge and experience for around six years. Until July 2005, he was the Counsel to Comissioner Roel Campos. From 2001 to 2004, he fulfilled the role of Special Counsel to the Office of Chief Counsel. He provided legal interpretive advice and guidance regarding the Securities Act, the Exchange Exchange An exchange is known as a marketplace that supports the trading of derivatives, commodities, securities, and other financial instruments.Generally, an exchange is accessible through a digital platform or sometimes at a tangible address where investors organize to perform trading. Among the chief responsibilities of an exchange would be to uphold honest and fair-trading practices. These are instrumental in making sure that the distribution of supported security rates on that exchange are effectiv An exchange is known as a marketplace that supports the trading of derivatives, commodities, securities, and other financial instruments.Generally, an exchange is accessible through a digital platform or sometimes at a tangible address where investors organize to perform trading. Among the chief responsibilities of an exchange would be to uphold honest and fair-trading practices. These are instrumental in making sure that the distribution of supported security rates on that exchange are effectiv Read this Term Act, the Trust Indenture Act, and others. Immediately before that, he was the Attorney-Advisor for Computers & Online Services, Consumer Products and Chemicals & Utilities.

In both summers of 1997 and 1998, Gumbs gained experience from both Schottenstein Zox & Dunn, and Morgan Lewis and Bockius as a Summer Associate.

Driving Boradridge’s Evolution

Commenting on Keir Gumb’s arrival, Gokey added: "As we continue to drive Broadridge's evolution, I am excited to welcome Keir to Broadridge. His accomplishments and expertise in corporate governance are certain to be an asset to our company and our clients, and I am confident our leadership team will benefit from his impressive experience and vision."