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Advanced-CAMS-Audit Exam Dumps : Advanced CAMS-Audit Certification Exam

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Advanced CAMS-Audit Certification Exam Questions and Answers

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Question 1

During the auditing process the auditor finds that the entity never updates the customers risk assessment. Which remediation actions should the auditor suggest? (Select Two.)

Options:

A.

Compliance regularly updates the lists of high- and medium-risk countries to ensure updated customer risk profiles.

B.

Audit designates an audit manager to review customer profiles annually.

C.

Delete non-active customer profiles to reduce the workload of ongoing surveillance.

D.

Management engages an independent third party to update all the customer risk profiles.

E.

The business updates the customer risk profiles periodically in accordance with the customer risk level.

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Question 2

Which are methods to test internal controls related to the CDD and KYC process? (Select Two.)

Options:

A.

Ask the account officers whether the CDD and KYC information provided is correct.

B.

Confirm with client onboarding teams whether or not high-risk customers exist.

C.

Review the accuracy of the gap analysis of the CDD and KYC policies and procedures against local regulations.

D.

Evaluate the results of the sample testing of new and existing customer relationships for adherence to the CDD and KYC process.

E.

Confirm if suspicious activity reports were filed following escalation for non-compliance with the CDD and KYC process.

Question 3

During a sanction review, an auditor notes that several of the bank's large corporate clients continue to route transactions through the bank to certain Office of Foreign AssetsControl (OFAC)-sanctioned countries.The head of corporate clients stated that these transactions were executed under the OFAC license.What should an auditor know to distinguish between an OFAC general license and a specific license?

Options:

A.

A general license authorizes a type of transaction and a specific license authorizes a transaction in response to a written license application.

B.

A specific license authorizes a transaction for an entity and a general license authorizes a transaction for an individual.

C.

A general license authorizes a transaction for an entity and a specific license authorizes a transaction for an individual.

D.

A specific license authorizes a type of transaction and a general license authorizes a transaction in response to a written license application.

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