Carol Ruocco

Carol Ruocco has extensive experience in compliance and regulatory roles, currently serving as Vice President at Nomura since August 2016, leading registration for Broker-Dealer and Investment Advisor organizations. Previously, Carol worked as a Consultant at UBS Financial Services, focusing on compliance with FINRA requirements, and spent 17 years at JPMorgan Chase as a Senior Compliance Professional in the Broker-Dealer and Futures Registration Department. Carol began her career at Salomon Brothers, Inc., where roles included Registration Assistant and administrative support within the Human Resources Department, establishing a strong foundation in compliance and registration processes across the financial services industry.