Hope L. Newsome, Esq.

Selected Representations 

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General Counsel, Secretary and Chief Compliance Officer  Represented firm on all corporate, compliance and general business matters and provided compliance guidance to private equity firm, broker-dealer and registered investment adviser responsible for more than $650 million dollars raised for more than 50 private and public investment funds.

Chief Compliance Officer  Led compliance program for $60 billion registered investment adviser and broker- dealer providing investment consulting and corporate insurances services to Fortune 100 companies.

Director, Compliance  Led a compliance team servicing more than 2,000 retail financial advisors with 20+ compliance managers across the United States for a leading financial institution.

General Counsel and Chief Compliance Officer  Served as member of the executive committee of a privately-held dually registered investment adviser and broker-dealer with more than $500 million AUM.

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Selected Industry References 

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       NSCP | Use of Non-Attorneys in FINRA Arbitration 

       Complect | Year-End Checklist 
       Orlando Business Journal | 40 Under 40 Honoree 

       i4 Business Magazine | How are You Building Relationships?
       Fortune Magazine | Wall Street: an option or obstacle for young women? 
       Top Compliance Counsel| First Chair Awards 
       A Robust Risk Matrix and Effective Tests | NRS 29th Annual Spring Compliance Conference 

       Participant | ELC Mid-Level Managers’ Symposium 

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Engagement 

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       Member | Professional Ethics Committee, The Florida Bar

       Co-Chair | National Society of Compliance Professionals, Diversity Committee

       Member | National Society of Compliance Professionals, Publications Committee

       Board Member | ATHENA Orlando Women’s Leadership

       Advisory Council | i4 Business Magazine

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