최신 Advanced-CAMS-Audit 무료덤프 - ACAMS Advanced CAMS-Audit Certification

문제1

A financial institution's (FI) risk assessment identified a lack of specific policies and procedures for existing privately-owned automated teller machine (ATM) customers.What would an auditorreview to assess whether this risk has been addressed?

A. Request data on the volume and value of transactions through the privately-owned ATM customers.

B. Prepare to audit a sample of the FI's privately-owned ATM customers.

C. Draft policies and procedures for the FI's privately-owned ATM customers.

D. Review the current risk assessment to determine the existence of privately-owned ATM customers.

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제2

Following completion of testing and tuning of the parameters and thresholds of the transaction monitoring model which final step should the team recommend as necessary to verify effective model functioning?

A. Regulatory approvals

B. Audit continuous monitoring

C. Data validation

D. Model validation

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

문제3

What should an auditor verify when auditing areas with previously identified AMI deficiencies?

A. Senior management agreed that the findings were legitimate.

B. Management took appropriate and timely action to address any violations and other deficiencies.

C. Management discussed an action plan to address any violations and other deficiencies.

D. The business attested to remediating the control gaps.

정답: B

설명: (DumpTOP 회원만 볼 수 있음)

문제4

Suspicious activity report testing in the last three audits did not identify any metrics to indicate that volume vanes dramatically each month. Which step should the auditor take next?

A. Escalate the finding regarding the lack of metrics to the board of directors.

B. Review within the IT audit.

C. Include the lack of metrics as a deficiency in the reporting.

D. Assign to continuous monitoring.

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제5

What factors are considered tor conducting an external audit and assurance review? (Select Three.)

A. Type of reporting format

B. Information that will be required

C. Type of risk assessment needed

D. Users of the external report

E. Purpose of the review

F. Budget available for the review

정답: C,D,E

설명: (DumpTOP 회원만 볼 수 있음)

문제6

Which are key responsibilities of internal auditors? (Select Two.)

A. Determining appropriate risk appetite of the entity

B. Mitigating the risks facing the organization

C. Evaluating the management of risk

D. Implementing controls and other safeguards

E. Acting as a catalyst for improvement

정답: C,E

설명: (DumpTOP 회원만 볼 수 있음)

문제7

Considering recent changes in the bank's correspondent banking business. Which is the most important risk indicator for the internal auditor to review?

A. The management and ownership of the respondent bank.

B. The major business activities of the respondent bank.

C. The jurisdiction in which the respondent bank is located.

D. The purpose of the services provided to the respondent bank.

정답: C

설명: (DumpTOP 회원만 볼 수 있음)

문제8

What should the auditor look for to assess the adequacy of controls for non-profit organizations that are vulnerable to terrorist financing (TF) abuse? (Select Two.)

A. Testing of the customer's identifying information using reliable and independent source documents

B. Concealing of the secretive diversion of funds intended for legitimate purposes to terrorist organizations

C. The overall volume of cash deposit reporting for the quarter

D. Ongoing due diligence on the business relationship and scrutiny of transactions undertaken throughout the course of that relationship

E. Exploitation of legitimate entities as conduits for TF for the purpose of escaping asset-freezing measures

정답: B,D

설명: (DumpTOP 회원만 볼 수 있음)

문제9

The auditor determines that the population for transaction monitoring testing can be stratified into five distinct categories. To complete testing which sampling method should the auditor use to identify the sample size?

A. Proportional

B. Risk-based

C. Judgmental

D. Statistical

정답: D

설명: (DumpTOP 회원만 볼 수 있음)

최신 Advanced-CAMS-Audit 무료덤프 - ACAMS Advanced CAMS-Audit Certification

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