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.

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