Efficient SAR Narratives: Beyond the 5 W’s


Presented by: Victor Cardona
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  With BSA/AML-related enforcement actions on the rise, how can one ensure they are collecting, analyzing and detailing the correct information in a SAR to comply with the FFIEC Manual, and federal examiner expectations? This webinar will go beyond the 5 W's of a SAR narrative, diving deeper in to what examiners are truly focusing in on this time around.

The presentation will review how expanding the SAR narrative to include customer actions beyond those considered suspicious can help law enforcement get the "big picture" and better understand the context of the SAR filing. It will also offer techniques for internet research that can provide additional background to help make a SAR filing more effective in explaining the subject and actions being reported.

About the Speaker: Victor is Vice President and BSA Officer for Plaza Bank headquartered in Irvine, Ca. Victor has been in banking since 2004, specializing in BSA/AML and OFAC compliance since 2005.

He is responsible for managing Plaza Bank's overall BSA/AML and OFAC compliance program. Prior to this, Victor was the Assistant Vice President, BSA Risk Officer for City National Bank in downtown Los Angeles where he performed the testing of the bank's BSA/AML and OFAC risk assessment program. He was promoted to this position within City National from Senior Compliance Analyst where Victor investigated the bank's most complex and high-profile SAR investigations. Victor started his banking career with Farmers & Merchants Bank of Long Beach as a teller before quickly moving into their BSA Department. While at Farmers & Merchants Bank, Victor also represented the bank as the Financial Institution Liaison with the Long Beach Elder Abuse Prevention Team.

Victor received his Bachelor's Degree from Cal State Dominguez Hills in Accounting and his M.B.A. from Utica College in Economic Crime & Fraud Management. Victor also attended the police academy at the Golden West College Criminal Justice Training Center where he received a Certificate of Achievement in Criminal Justice. Victor received his certification as a Certified Anti-Money Laundering Specialist in 2008 and currently sits on the ACAMS Southern California Executive Board as their Communications Director.

This program was recorded in its entirety in July 2015. The CD-ROM includes program slides, materials (if available) and follow-up Q & A document.

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  • Model: cd_sar0715
  • Manufactured by: Glia Group, Inc.

This product was added to our catalog on Tuesday 16 June, 2015.

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