Douglas Siegel

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

Douglas Siegel

Douglas Siegel

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

Overview
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1672

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1

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Executive Vice President & Chief Financial Officer at Oppenheimer & Co., Inc.

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President & Director at Oppenheimer Asset Management, Inc.

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Executive Vice President & General Counsel at Oppenheimer & Co., Inc.

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Chief Compliance Officer at Oppenheimer Alternative Investment Management LLC

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Senior Managing Director & Head of US Investment Banking at Oppenheimer & Co., Inc.

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Chief Executive Officer at Oppenheimer & Co., Inc.

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Chief Legal Officer at Oppenheimer Asset Management, Inc.

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Senior Managing Director, Equities at Oppenheimer & Co., Inc.

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Managing Director & Chief Marketing Officer at Oppenheimer & Co., Inc.

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Senior Managing Director, Chief Information Officer at Oppenheimer & Co., Inc.

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Douglas Siegel
Managing Director, Chief Compliance Officer at Oppenheimer & Co., Inc.
Education
B.S. Finance

Syracuse University, commonly referred to as Syracuse, 'Cuse, or SU, is a private research university located in Syracuse, New York. The institution's roots can be traced to the Genesee Wesleyan Seminary (later becoming Genesee College), founded by the Methodist Episcopal Church in Lima, New York, in 1831. Following several years of debate over relocating the college to Syracuse, the university was established in 1870, independent of the college. Since 1920, the university has identified itself as nonsectarian, although it maintains a relationship with The United Methodist Church. The campus is located in the University Hill neighborhood of Syracuse, east and southeast of downtown, on one of the larger hills. Its large campus features an eclectic mix of buildings, ranging from nineteenth-century Romanesque Revival structures to contemporary buildings. SU is organized into 13 schools and colleges, with nationally recognized programs in information studies and library science, architecture, communications, business administration, sport management, public administration, engineering and the College of Arts and Sciences. Syracuse University athletic teams, known as the Orange, participate in 20 intercollegiate sports. SU is a member of the Atlantic Coast Conference for all NCAA Division I athletics, except for women's ice hockey, and the rowing team. SU is also a member of the Eastern College Athletic Conference.

Career History
Managing Director, Chief Compliance Officer
2016 - Current

Oppenheimer & Co. Inc. is a leading investment bank and full-service investment firm that provides financial services and advice to high net worth investors, individuals, businesses and institutions. For over 130 years, they have provided investors with the necessary expertise and insight to meet the challenge of achieving their financial goals. Oppenheimer is a wholly owned subsidiary of Oppenheimer Holdings Inc., an integrated financial services holdings company. Oppenheimer is a registered broker-dealer and investment advisory firm.

Global Compliance Officer
2016 - Current

Oppenheimer Investment Management (OIM) is an active investor that focuses on developing consistent, alpha-generating investment ideas for the institutional portfolios they manage. The firm's investment approach is based on the belief that the investment markets are exposed to inefficiencies over time. They seek to capitalize on these inefficiencies through a rigorous, consistent security selection process. OIM's investment strategies include: core fixed-income, core plus fixed-income, intermediate fixed-income and high yield fixed-income.The OIM Core Fixed-Income strategy is based on the idea that individual security selection produces the best opportunity for risk-adjusted excess returns over time. OIM employs an extensive, bottom-up research process, that focuses on optimal bond selection of investment grade corporate bonds, MBS, US Government Treasuries and taxable municipal bonds. The firm employs a tightly-controlled duration discipline and closely manages all portfolio risk factors. Their objective is to produce predictable, consistent excess returns net-of-fees over the Barclays Capital Aggregate Bond Index.The OIM Core Plus Fixed-Income strategy is based on the idea that individual security selection produces the best opportunity for risk-adjusted excess returns over time. OIM's extensive, bottom-up research process focuses on optimal bond selection of investment grade corporate bonds, MBS, US Government Treasuries and taxable municipal bonds. They employ a tightly-controlled duration discipline and closely manage all portfolio risk factors. OIM's objective is to produce predictable, consistent excess returns net-of-fees over the Barclays Capital Aggregate Bond Index.The OIM Intermediate Fixed Income strategy is based on the idea that individual security selection produces the best opportunity for risk-adjusted excess returns over time. OIM's extensive, bottom-up research process focuses on optimal bond selection of investment grade corporate bonds, MBS, US Government Treasuries and taxable municipal bonds. They employ a tightly-controlled duration discipline and closely manage all portfolio risk factors. OIM's objective is to produce predictable, consistent excess returns net-of-fees over the Barclays Capital Government/Credit-Intermediate Bond Index.The OIM High Yield Fixed Income strategy is based on the idea that individual security selection produces the best opportunity for risk-adjusted excess returns over time. The firm employs an extensive, bottom-up research process that focuses on optimal bond selection of corporate bonds, preferred securities, bank loans, convertible securities and taxable municipal bonds. OIM's emphasis is on relative value, and they closely manage all portfolio risk factors. Their objective is to produce predictable, consistent excess returns net-of-fees over the Merrill Lynch High Yield Master II Index.

Global Compliance Officer
2016 - Current

Advantage Advisers Multi-Manager LLC, a subsidiary of Canadian Imperial Bank of Commerce, is a company headquartered in New York, NY. The firm provides investment advice.

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