Kathryn Dick

Kathy advises Promontory clients on a wide range of regulatory and supervisory issues, governance and risk management challenges, systemic risk issues, and complex credit and capital markets activities. Areas of expertise include trading activities, derivatives, structured products, liquidity, interest rate risk, and asset management activities. She has extensive knowledge of regulatory and supervisory expectations as they relate to products and controls in the financial services sector. Representative Engagements Assisted a large regional banking client with a complete rewrite of the policies governing its asset and liability management activities. Assisted a sizable financial market utility seeking to develop and implement a systemic risk program within the existing architecture of its enterprise risk management program. Led an engagement for a global banking entity seeking an independent evaluation of its risk management program for a complex trading business. Experience Kathy has 26 years of bank regulatory experience with the U.S. Office of the Comptroller of the Currency. As Deputy Comptroller for Credit and Market Risk, she was responsible for the development of a comprehensive policy framework with respect to the management of all credit and market risks associated with banking products and services. She chaired the OCC’s National Risk Committee and served as the agency’s representative for the President’s Working Group on Financial Markets. Kathy developed the OCC’s Financial Markets Group division and was responsible for identifying emerging risk issues in the banking system and leading efforts to promptly respond to early warning signals. During the recent financial crisis, she served as co-Chair of the agency team established by the Comptroller to influence global and domestic regulatory reform efforts. Earlier in her career, Kathy held leadership positions as a national bank examiner, including serving as the Examiner-in-Charge of the OCC’s London office. Education M.B.A. in Business Administration, Carlson School of Management, University of Minnesota B.A., University of Minnesota