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Capital Markets Supervision

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The Office of the Comptroller of the Currency (OCC) regulates and supervises the capital markets activities within national banks and federal savings associations. The OCC defines capital markets as asset-liability management, treasury activities and trading of financial instruments. This broad definition encompasses a wide-range of risk identification, management and control functions, and requires examiners have expertise in several specialty areas within capital markets.

If you are highly competent in any of these areas, with a proven ability to identify and resolve problems, you should consider a career in capital markets supervision with the OCC.

Asset-liability management activities, including balance sheet mix, risk selection, risk modeling and reporting, hedging approaches, and control processes.

Liquidity risk management, such as retail and wholesale funding mix, risk measurement and monitoring, and contingency funding preparedness.

Trading activities including market and credit risk, management of cash and derivative positions in trading portfolios and the risk factors that determine the pricing and liquidity of positions in credit, currencies, commodities, interest rates and equities.

Investment activities, including portfolio objectives, prepurchase due diligence, portfolio analytics, monitoring, and risk reporting.

Opportunity: Capital Markets Bank Examiner

The OCC provides opportunities for capital markets specialists in Large Bank Supervision, Midsize and Community Bank Supervision, and in the Headquarters policy area known as the Chief National Bank Examiner’s Office (CNBE). Each of these opportunities requires a different level of expertise and specialization within the capital markets spectrum. Large banks supervised by the OCC generally have assets of $50 billion to $3 trillion, with on-site examination teams in cities across the country. The OCC supervises midsize and community banks with assets up to $50 billion from examination teams located in field offices across the country. The CNBE develops and issues guidance and supervisory policies to address sound practices and emerging risks, as well as compliance with applicable laws and regulations. The CNBE also interacts with the other federal banking agencies to develop consistent examination procedures and supervisory approaches.

Whether you are actively seeking a career change, or are content with your current position, you owe it to yourself to discover whether a career in capital markets supervision at the OCC is right for you.

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