Stephen R. King, JD, AMLP
Member of the Firm
Stephen serves as the Director of the Regulatory Compliance group where he guides clients through the myriad of federal and state banking statutes from both an operational and legal perspective. Stephen is responsible for managing a team of professionals to ensure the successful delivery of compliance services to Wolf clients. An avid speaker, he travels regularly, educating the members of financial industry associations throughout the Northeast.
Stephen joined the Firm in 1996 and has approximately twenty years experience as an advisor, facilitator and resource to financial institutions, investment companies, mortgage industry professionals and broker-dealers in compliance matters.
AREAS OF EXPERTISE
Stephen consults with clients on the design, implementation, and monitoring of customized compliance programs to ensure regulatory compliance in the areas of lending, operations, and retail banking. He also consults with financial institutions on enterprise-wide risk management, compliance examination preparation and response, and new product design.
EDUCATION AND CERTIFICATIONS
Graduate of Stonehill College
Juris Doctor, Suffolk University Law School (JD) Licensed to practice law in Massachusetts
Anti-Money Laundering Professional (AMLP)
MEMBERSHIPS AND ORGANIZATIONS
Massachusetts Bankers Association - Legal & Regulatory Compliance Committee
Western Massachusetts Compliance Association - Governor-at-Large
Massachusetts Risk Management Network
Eastern Massachusetts Compliance Network
Massachusetts and American Bar Associations
RECENT PRESENTATIONS AND ARTICLES
September 2011 – “Guidelines for New Compliance Projects”, FMS East Coast Conference
June 2011 – “The Importance of Board Interaction with a Risk Officer”, Wolf CEO and Board University
May 2011 – “Role of a Chief Risk Officer”, New York Bankers Association
April 2011 – “4 Danger Areas to Watch”, BankWorld
October 2010 – “RESPA Review”, Long Island Bank Compliance Association
May 2010 - “Credit and Compliance Risk within an Effective ERM” Independent Bankers Association of New York State Senior Management & CFO Peer Group
May 2010 - “Compliance Management: Best Practices in Sharing Information Across Departments” New York Bankers Association