Carol Hardiman


Ms. Hardiman performs compliance examinations and other compliance work for NCS Regulatory Compliance clients. Previously, she served as vice president of business solutions for two broker-dealers. In this capacity she analyzed industry services and compliance trends and worked with internal and external customers to define business needs and provide effective solutions. In addition, she identified and successfully implemented several strategic solutions, including technology related to compliance, record retention, account opening, consolidated customer statements, back-office administration, and field web sites.

Direct: (603) 216-8911 | Email: