Heather Smith

Chief Compliance Officer
Heather manages all aspects of DWAM's compliance program. Previously, Heather worked for Morgan Keegan & Co., based in Memphis, TN as the Director of Regulatory Affairs, and was involved in various committees governing the activities of the firm, including the Risk, Distressed Market, Product and Credit Committees. Prior to Morgan Keegan, Heather worked at AmSouth Investment Services, Inc. (“AIS”) based in Birmingham, AL managing several departments within compliance. She has served in the industry since 1998 and graduated from the University of Montevallo in Alabama where she received a BBA degree with a concentration in Finance and a minor in English.
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