Advanced-CAMS-Audit試験無料問題集（90題）「ACAMS Advanced CAMS-Audit Certification 認定」

出題：1

Which should the external auditor recommend to ensure that the institution did not facilitate transactions involving a sanctioned person?

A. Periodically monitor the sanctions lists uploaded by the screening tool to ensure the most up-to-date lists are in the system.

B. Perform a security risk and access assessment on the sanction screening tool to ensure more timely sanctions lists are uploaded.

C. Re-screen all transactions based on the sanctions lists that were active at that time but not uploaded.

D. Re-screen all transactions over the period of time when the updated sanction lists were not uploaded against the current sanctions lists.

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：2

Which requirement of a financial institution's compliance program should an auditor review first to understand key roles and responsibilities?

A. List of suspicious transactions reported to the regulator

B. List of high-risk customers subject to enhanced due diligence and the measures taken to mitigate the risks

C. Designation of an individual or individuals responsible for coordinating and monitoring day-to-day compliance

D. Names of politically exposed persons that are subject to ongoing monitoring

正解：C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：3

A financial institution (FI) recently updated its transaction monitoring (TM) thresholds During validation which should be provided as evidence of optimized thresholds'? (Select Two.)

A. Above-the-line and below-the-line testing

B. Comparison against past suspicious activity reported

C. Length of time the FI has deployed the software program

D. Proof of validation from the TM software provider

E. A copy of the FI's AML risk assessment

正解：A,B 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：4

Which should be evaluated when analyzing components of risk mitigation in an AML risk assessment?
(Select Two.)

A. Customer risk

B. Overall customer volume

C. Product risk

D. Office of Foreign Assets Control filtering

E. Liquidity risk

正解：A,C 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：5

Which key risk indicator should the internal auditor consider when reviewing correspondent banking activities?

A. Number of respondent banks located in higher risk jurisdictions.

B. Volume of transaction activity referred by the respondent bank.

C. Size and stature of a respondent bank's operations in its home country.

D. Number of correspondent banking relations terminated.

正解：A 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：6

An organization creates a document for its audit committee listing the outstanding audit findings. The list has an executive management owner assigned to each finding, due dates for reporting management's responses and space for management to identity the actions to be taken. Which is a primary purpose of this document?

A. Documenting audit team validation testing

B. Tracking completion of proposed recommendations

C. Testing resiliency of proposed recommendations

D. Providing audit documentation of management responses

正解：B 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：7

Which findings indicate issues that would cause a lack of understanding of the risks associated with the business the financial institution conducts? (Select Three.)

A. Finding 6

B. Finding 4

C. Finding 3

D. Finding 1

E. Finding 8

F. Finding 5

正解：B,D,E 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：8

When reviewing an AML policy, an auditor should expect to find that the policy.

A. has been approved by regulators.

B. was reviewed and approved by the money laundering reporting officer.

C. is aligned with investment strategy.

D. contains items related to staff training.

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

出題：9

Which recommendation should the audit team provide to address transaction monitoring (TM) issues?

A. Switch off those detection scenarios that are producing too many false positives.

B. Apply the same thresholds across all client types to ensure alignment of risk coverage.

C. Provide training for first-line staff on how to review and disposition TM alerts.

D. Perform a coverage assessment of the current suite of TM detection scenarios against the bank's money laundering and terrorist financing risks

正解：D 解答を投票する

解説: (GoShiken メンバーにのみ表示されます)

Advanced-CAMS-Audit試験無料問題集「ACAMS Advanced CAMS-Audit Certification 認定」