Douglas T. Siegel

Douglas Siegel is a seasoned compliance professional with extensive experience in the financial services industry. Currently serving as the Managing Director and Chief Compliance Officer at Oppenheimer & Co. Inc., Siegel has held prominent roles at UBS, including Head of Wealth Management Americas Compliance and Chief Compliance Officer for UBS Financial Services Inc., as well as Head of Products and Services Compliance and Head of Surveillance and Branch Review. Prior to UBS, Siegel was the Divisional Compliance Director at Smith Barney. Siegel holds a Bachelor of Science degree in Finance from Syracuse University, where studies took place from 1981 to 1985, and completed education at Poly Prep from 1977 to 1981.