100% PASS-RATE RELIABLE ADVANCED-CAMS-AUDIT DUMPS FILES OFFER YOU ACCURATE RELIABLE DUMP | ACAMS ADVANCED CAMS-AUDIT CERTIFICATION EXAM

100% Pass-Rate Reliable Advanced-CAMS-Audit Dumps Files offer you accurate Reliable Dump | ACAMS Advanced CAMS-Audit Certification Exam

100% Pass-Rate Reliable Advanced-CAMS-Audit Dumps Files offer you accurate Reliable Dump | ACAMS Advanced CAMS-Audit Certification Exam

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ACAMS Advanced CAMS-Audit Certification Exam Sample Questions (Q20-Q25):

NEW QUESTION # 20
Which are objectives of the issue confirmation step in the audit issue management process? (Select Two.)

  • A. Communication, follow-up. and documentation are tracked on scheduled sustainability validations.
  • B. Findings ate explained and assigned to the accountable owners.
  • C. Findings ate clearly written and facts are accurate
  • D. Compliance Identifies and schedules pre-exam validation as appropriate.
  • E. Additional remediation is identified and planned.

Answer: B,C

Explanation:
Key Objectives of Issue Confirmation:
* Findings need to be clearly articulated and assigned to ensure accountability and actionable remediation.
* Accurate documentation ensures that facts are not disputed and remediation can proceed efficiently.
Irrelevant Options:
* B:Additional remediation is a later step in the issue resolution process.
* D and E:Tracking and pre-exam validation relate to follow-up stages, not the initial confirmation step.


NEW QUESTION # 21
Which is the most significant risk associated with KYC requirements being considered a low priority not designed into processes and subsequently implemented after the products are already launched?

  • A. Product launches may not be adequately prepared.
  • B. Frontline will not complete adequate CDD.
  • C. Client experience improves as accounts can be opened more quickly.
  • D. Product launches will motivate frontline to get more customers.

Answer: B

Explanation:
* Critical Impact:
* Absence of CDD processes during product launch leaves the institution exposed to onboarding high-risk customers without proper risk assessment.
* Guidelines and Compliance:
* FATF standards emphasize embedding CDD in all stages of customer interaction to mitigate ML
/TF risks.


NEW QUESTION # 22
Which should the auditor recommend to management in terms of the client's risk rating procedures?

  • A. Remove enhanced due diligence requirements for long-standing clients that are art collectors and do not transact with precious metals.
  • B. Include an assessment of risk factors of channel, credit, and transaction risk to determine the client's composite AML and sanctions risk score.
  • C. Provide staff with training on new record retention requirements for occasional transactions.
  • D. Remediate client files to verify their AML and sanctions risk rating and document enhanced due diligence measures, where applicable.

Answer: B

Explanation:
* Incorporating Comprehensive Risk Factors
* By including an assessment of channel, credit, and transaction risks, the client's overall risk profile is accurately determined. This aligns with risk-based approaches emphasized by FATF and CAMS-Audit standards.
* These risk factors provide a granular view of the client's risk level, ensuring proper classification into Standard or Enhanced Due Diligence categories.
* Regulatory Alignment
* FATF Recommendations mandate that client risk assessments consider the products, services, and delivery channels used, as well as geographic and transactional risks.
ConclusionImplementing composite AML and sanctions risk scores ensures the institution is compliant with regulatory standards and adequately mitigates risks associated with different client profiles.


NEW QUESTION # 23
Which are methods to test internal controls related to the CDD and KYC process? (Select Two.)

  • A. Ask the account officers whether the CDD and KYC information provided is correct.
  • B. Review the accuracy of the gap analysis of the CDD and KYC policies and procedures against local regulations.
  • C. Evaluate the results of the sample testing of new and existing customer relationships for adherence to the CDD and KYC process.
  • D. Confirm with client onboarding teams whether or not high-risk customers exist.
  • E. Confirm if suspicious activity reports were filed following escalation for non-compliance with the CDD and KYC process.

Answer: B,C

Explanation:
Testing Internal Controls:
* C. Gap Analysis: Ensures policies are compliant with local regulations and address identified risks.
* D. Sample Testing: Verifies that processes are effectively implemented in practice for both new and existing customers.


NEW QUESTION # 24
What factors are considered tor conducting an external audit and assurance review? (Select Three.)

  • A. Purpose of the review
  • B. Type of reporting format
  • C. Budget available for the review
  • D. Users of the external report
  • E. Type of risk assessment needed
  • F. Information that will be required

Answer: A,D,E

Explanation:
Factors for External Audit:
* C. Purpose of the Review: Determines the scope and focus of the audit to align with regulatory or organizational objectives.
* D. Type of Risk Assessment Needed: Tailors the audit methodology to the identified risks.
* E. Users of the External Report: Ensures the audit addresses the needs of regulators, stakeholders, or management.


NEW QUESTION # 25
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