Jervis B. Hough is an accomplished financial services professional with over 23 years of expertise, specializing in broker-dealer and registered investment advisor (RIA) compliance. He currently serves as the Chief Compliance Officer and Senior Vice President at Blaylock Van, LLC, a full-service investment banking and financial services firm. In this role, Jervis oversees compliance and risk management for the firm’s public finance, capital markets, and asset management divisions, ensuring that the firm operates within a compliant, ethical, and transparent framework while achieving strategic financial goals. His leadership extends across diverse financial functions, including capital markets, fixed income trading, retail and institutional sales practices, and business development.

Jervis began his distinguished career in the securities industry with FINRA (formerly NASD), where he worked as a compliance examiner. During his tenure, he conducted risk-based examinations of broker-dealers, ensuring adherence to SEC, FINRA, and MSRB rules. His ability to analyze complex regulatory environments and develop comprehensive solutions laid the groundwork for his successful career in compliance.

He further honed his expertise in various roles at prestigious firms, including Merrill Lynch and IFS Securities, Inc., where he served as Chief Compliance Officer for both the broker-dealer and investment advisory divisions. Jervis founded Taurus Compliance Consulting, LLC, in 2008, providing tailored compliance consulting services to numerous SEC and FINRA-regulated entities. His extensive experience as an independent examiner and expert witness on regulatory matters has made him a trusted advisor within the financial industry.

At Blaylock Van, LLC, Jervis is a key figure in managing relationships with fiscal officers and financial leaders. His contributions have been integral to the firm’s growth and its ability to navigate the complexities of financial markets. His commitment to fostering ethical practices in finance is underscored by his numerous certifications and licenses, including the Certified Securities Compliance Professional (CSCP®) credential and multiple FINRA licenses such as Series 7, 24, 53, 63, 79, and 99.

Beyond his regulatory expertise, Jervis has an extensive background in international markets, particularly within the English-speaking Caribbean. His work in Jamaica has contributed to the growth of innovation and entrepreneurship in emerging markets, reflecting his global perspective and influence.

Jervis holds an MS in Agricultural and Applied Economics from Clemson University, where he authored a technical paper on “Intergenerational Inequality and Developmental Impact Fees.” He also earned a BS in Economics from Clemson’s John E. Walker School of Economics. His academic background, combined with his professional experience, has equipped him with the analytical and leadership skills necessary to guide organizations through complex regulatory landscapes.

Jervis is currently active on several boards and committees, including the Industry Diversity Advisory Committee (IDAC), RXMD, and the National African Americans in Insurance Association (NAAIA), where he continues to offer his expertise in governance, risk management, and regulatory compliance.

Driven by his personal mission statement, “Get it done, no excuses,” Jervis is committed to helping organizations succeed while upholding the highest standards of ethical and compliant behavior. His ability to combine strategic insight with a deep understanding of regulatory frameworks has made him a highly sought-after leader in the financial industry. Jervis remains dedicated to using his experience and expertise to contribute to the success of the firms and boards he serves, positioning them for sustainable growth in an ever-evolving financial landscape.

Character:

Jervis Hough is defined by his relentless drive to achieve results, guided by a personal motto of “Get it done, no excuses.” His integrity and commitment to ethical practices are the cornerstone of his leadership style, ensuring that all decisions are made with transparency and fairness.

Knowledge:

With over 26 years in the financial services industry, Jervis has deep expertise in compliance, risk management, and capital markets. His extensive knowledge of regulatory frameworks, including FINRA, SEC, and MSRB rules, enables him to navigate complex financial environments with confidence.

Strategic:

Jervis excels in developing and implementing strategic solutions that align with organizational goals while maintaining regulatory compliance. His ability to provide insight on capital planning, financings, and restructurings makes him a key asset in driving sustainable growth for firms.

Communication:

Known for his clear and direct communication style, Jervis effectively collaborates with executive teams, fiscal officers, and regulatory bodies. His ability to articulate complex regulatory matters ensures that stakeholders are well-informed and aligned with strategic objectives.