FacultyFaculty/Author Profile
Douglas T. Siegel

Douglas T. Siegel

Oppenheimer & Co. Inc.
Global Chief Compliance Officer
New York, NY, USA


Douglas T. Siegel is Managing Director and Chief Compliance Officer (CCO) for the Oppenheimer Companies.  As CCO, Mr. Siegel sets the Compliance strategy and manages the Firms regulatory and reputational risk.  He is responsible for the compliance program for all of Oppenheimer’s businesses which includes a full service broker dealer and asset management company.

Mr. Siegel joined the Company in February 2016.  Prior to joining Oppenheimer he spent 17 years at UBS, and for the last 6 years was Managing Director and Chief Compliance Officer for UBS Wealth Management Americas.  Prior to UBS, He spent 13 years at Smith Barney and predecessors in various Compliance roles.  He is a frequent speaker at SIFMA, FINRA and SEC events.

Mr. Siegel graduated from Syracuse University in 1985 with a B.S. in Finance.  He holds the Series 7, 8, 14, 24 and 65 licenses.

Douglas T. Siegel is associated with the following items:
Web Segment  Web Segment Broker/Dealer Compliance Officer Roundtable - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
MP3 Audio  MP3 Audio Broker/Dealer Compliance Officer Roundtable - Broker/Dealer Compliance Officer Roundtable, Tuesday, October 17, 2017
Transcripts  Transcripts Broker/Dealer Compliance Officer Roundtable - Broker/Dealer Compliance Officer Roundtable, Tuesday, October 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Broker/Dealer Compliance Officer Roundtable - Broker/Dealer Compliance Officer Roundtable, Tuesday, October 17, 2017
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2017, Wednesday, October 18, 2017, New York, NY
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