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OCC Ethics Standards

If you join the OCC as an employee, you will be expected to maintain the highest standards of ethical conduct and to comply with all applicable federal ethics laws and regulations.

Ethics standards that will apply to you at the OCC include the following:

  • If you are currently employed by a national bank or a federal savings association or any other private organization, you will be recused for a period of time from matters affecting your former employer once you join the OCC.
  • OCC ethics standards generally prohibit employees, their spouses, and minor children from owning 1) securities, such as stock, stock options, and bonds, of banks or savings associations or their affiliates, such as bank holding companies and savings and loan holding companies, and 2) shares of mutual funds that have a stated policy of concentrating in the financial services or banking sector. You (and your spouse and minor children) will be required to divest such interests if you accept an appointment at the OCC. If you have unusual circumstances and cannot readily divest prohibited financial interests, you should discuss this with an OCC ethics official prior to submitting an application. An OCC recruiter can provide you contact information for an OCC ethics official.
  • If your position includes a financial disclosure notice, you will be required to file a financial disclosure report within your first weeks on the job and on annual basis thereafter. (Contractors will be required to disclose financial information that will be screened by an ethics official before contract award is made.)

If you have been selected as an employee for an OCC position, please review the OCC ethics guidance for new hires prior to your OCC orientation session.