FacultyFaculty/Author Profile

James A. Capezzuto

Oppenheimer Asset Management
Chief Compliance Officer
New York, NY, USA


James Capezzuto is the chief compliance officer for Oppenheimer Asset Management and its affiliated advisers. Previously, Mr. Capezzuto was an associate regional director at the Securities and Exchange Commission, responsible for the New York regional investment adviser and investment company exam programs. He has also served as a chief compliance officer at New York Life Investors,  US counsel and chief compliance officer at Aberdeen Asset Management, senior counsel at UBS Global Asset Management, chief compliance officer at Banc of America Alternative Strategies and senior counsel at Deutsche Bank/Morgan Grenfell Asset Management. Mr. Capezzuto received his JD from New York Law School and his BA in English from the University at Buffalo. He has over 25 years of legal and compliance experience in the asset management industry.
James A. Capezzuto is associated with the following items:
Web Segment  Web Segment Compliance Challenges for SEC-Regulated Private Funds - Private Fund Regulatory Developments and Compliance Challenges 2017, Thursday, January 12, 2017
MP3 Audio  MP3 Audio Compliance Challenges for SEC-Regulated Private Funds - Compliance Challenges for SEC-Regulated Private Funds, Thursday, January 12, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Compliance Challenges for SEC-Regulated Private Funds - Compliance Challenges for SEC-Regulated Private Funds, Thursday, January 12, 2017
On-Demand Web Programs  On-Demand Web Programs Private Fund Regulatory Developments and Compliance Challenges 2017, Tuesday, January 24, 2017, New York, NY
Live Seminar  Live Seminar Private Fund Regulatory Developments and Compliance Challenges 2018, Wednesday, January 31, 2018, New York, NY
Live Webcast  Live Webcast Private Fund Regulatory Developments and Compliance Challenges 2018, Wednesday, January 31, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Private Fund Regulatory Developments and Compliance Challenges 2018, Wednesday, January 31, 2018, Nashville, TN
Private Fund Regulatory Developments and Compliance Challenges 2018, Wednesday, January 31, 2018, Cleveland, OH
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