Oppenheimer & Co has appointed longtime compliance professional, Doug Siegel, as Managing Director, Chief Compliance Officer (CCO) of the Oppenheimer Companies. Siegel will lead Oppenheimer's compliance team and manage the firm's regulatory and reputational risk.
Siegel's extensive compliance and wealth management experience spans nearly three decades with key roles at firms including Smith Barney and UBS and their respective predecessor firms. Most recently, Siegel served as the Head of Wealth Management Compliance for UBS Americas Group.
"I am proud to be leading the team of professionals at Oppenheimer dedicated to compliance," ssaysaid Siegel. "The firm is moving forward and I am excited to further enhance its overall compliance program."
Siegel graduated from Syracuse University with a bachelor's in finance and holds numerous licenses. An active participant in the industry, Siegel is a member of SIFMA's Compliance and Regulatory Policy Committee.