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ACAMS Advanced-CAMS-Audit 시험 개요:

ACAMS Advanced-CAMS-Audit 시험 요강 주제:

ACAMS Advanced CAMS-Audit Certification에 대해 수험생이 가장 많이 묻는 질문

최신 AML Certifications Advanced-CAMS-Audit 무료샘플문제

문제 #1

Review of client files reveals that staff members have been performing negative media searches for clients only when they recognize the client name. When an interesting story is identified a print of the results is inserted in the client file. There are no clear procedures on adverse media screening. Which should the auditor recommend? {Select Two.)

A. Identification of relevant reports via adverse media searches must be escalated for an assessment for materiality.
B. Privacy regulation requires that clients who have a print copy of the adverse media m their files should be notified.
C. Procedures should be enhanced to require that all clients are subject to regular negative media screening.
D. All staff members should be provided with additional training to ensure they adhere to standard procedures.
E. Evidence of negative media screening retained in client files must comprise negative reports only.

문제 #2

An audit determines that an important control is not being performed. The operational manager responds to the audit comment stating that they do not have adequate resources in the department to accomplish this task.
The audit item discussion between the auditor and the operational manager is a(n):

A. sustainability assessment.
B. general license authorizing a transaction for an entity, and a specific license authorizing a transaction for an individual.
C. internal control test.
D. root cause analysis

문제 #3

Which statements demonstrate an effective use of risk appetite in an organization? (Select Two.)

A. Risk appetite statements should remain stable and consistent, even in changing business conditions.
B. Risk appetite statements do not need specific indicators to alert management when the level of acceptable risk is exceeded.
C. When discussing and managing risk, "risk appetite" and "risk tolerance" can be used interchangeably.
D. Analyzing risk appetite statements is important to reaching a meaningful articulation of risk appetite.
E. Determining risk appetite should include a discussion about an organization becoming overly risk- averse.

문제 #4

A recent regulatory examination identified serious deficiencies in the AML program. Which action should the organization take first?

A. Enhance the ongoing employee training program so that employees are aware of their respective AML roles and responsibilities.
B. Initiate a request for proposals for new AML systems and solutions.
C. Engage a qualified third party to review the deficiencies and assist in developing a remediation plan.
D. Change the designated head of AML compliance and request the newly appointed head of AML compliance produce a remediation plan.

문제 #5

Findings from a financial institution's (Fl's) regulatory examination suggest that several unidentified risks pose a serious threat. The Fl identifies the risks and implements a set of controls to mitigate those risks.
Which type of risk considers the controls' effectiveness?

A. Residual
B. Aggregate
C. Consolidated
D. Inherent

질문과 대답: