Douglas Siegel

Managing Director & Chief Compliance Officer Oppenheimer & Co. Inc.

As CCO, Doug sets the Compliance strategy and manages the Firm’s regulatory and reputational risk. He serves as a member of Oppenheimer’s Management, Risk Management, New Product, Surveillance Oversight, and Regulatory Review Committees. Mr. Siegel joined the Firm in February, 2016. Prior to joining Oppenheimer, he spent 17 years at UBS, most recently as Managing Director and Chief Compliance Officer for UBS Wealth Management Americas for six years. 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. Doug graduated from Syracuse University with a BS in Finance.