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Teresa Hough, IACCP®

Senior Compliance Administrator
Portland, ME
Teresa Hough
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Teresa Hough, IACCP®

Senior Compliance Administrator
Portland, ME

As the Senior Compliance Administrator, Teresa is responsible for conducting, reviewing, and/or leading all compliance program testing. She is an Investment Advisor Certified Compliance Professional. Teresa assists the Chief Compliance Officer with effectively applying securities industry rules, regulations and best practices to the Company’s compliance program. In addition, she ensures proxies are voted for our clients and manages the Company’s responses to institutional requests for investment management proposals. She is a member of the Compliance Committee, the Trading Practices Committee and the Disaster Recovery team.

Teresa grew-up in Alaska and now resides in Windham, Maine. She enjoys playing hockey, participating in equestrian events, spending time with her husband and three children and occasionally having the chance to read a good book.

Work Experience

  • Joined R.M. Davis in 2012
  • Harborview Investments, Relationship Manager and Supervising Principal        
  • Merrill Lynch, Fairbanks, Alaska and Bellevue, Washington, Senior Client Associate

Education

  • University of Southern Maine, B.S. in Leadership & Organizational Studies
  • Passed:
    • General Securities Principal Series 24
    • General Securities Representative Series 7
    • Uniform Combined State Law Series 66

Community Involvement

  • Volunteer Guardian Ad Litem for Maine CASA