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ACAMS Advanced-CAMS-Audit Prüfungsplan:

Thema
Einzelheiten

Thema 1

Planning and Scoping: This section of the exam measures the skills of audit managers and covers the processes involved in planning an audit engagement. It includes defining the scope, objectives, and resources required for an effective audit. A critical skill evaluated here is the ability to identify risks and develop a comprehensive audit plan that addresses those risks while ensuring compliance with relevant standards.

Thema 2

Fieldwork and Evaluation: This section of the exam measures the skills of target professionals to demonstrate audit procedures during fieldwork. It involves collecting evidence, testing controls, and evaluating findings to ensure accuracy and reliability.

Thema 3

Corporate Governance and the Audit Function: This section of the exam measures the skills of auditing professionals and covers the principles and frameworks that guide effective governance in organizations. It emphasizes understanding the roles and responsibilities of the board of directors, management, and auditors. A key skill assessed is the ability to evaluate governance structures and their impact on organizational performance.

Thema 4

Reporting, Recommendations, and Follow-Up: This section of the exam measures the skills of audit managers and covers the communication of audit findings to stakeholders. It includes developing clear recommendations for improvement based on evaluation results and ensuring follow-up on those recommendations.

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ACAMS Advanced CAMS-Audit Certification Exam Advanced-CAMS-Audit Prüfungsfragen mit Lösungen (Q43-Q48):

43. Frage
As an auditor reviewing this investigation report, which indicates an effective process?

A. The compliance officer filed a suspicious activity report and omitted details regarding the reason it was filed.
B. The compliance officer concluded from the report that there are reasonable grounds for suspicion and filed a suspicious activity report.
C. The compliance officer concluded the investigation approximately 3 months later and filed a suspicious activity report.
D. The compliance officer decided not to cease the Business relationship hut kept the account under rigorous monitoring process.

Antwort: B

Begründung:
Filing an SAR based on reasonable grounds for suspicion ensures compliance with AML obligations and demonstrates the effectiveness of the investigative process.

44. Frage
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?

A. A general license authorizes a transaction for an entity and a specific license authorizes a transaction for an individual.
B. A general license authorizes a type of transaction and a specific license authorizes a transaction in response to a written license application.
C. A specific license authorizes a type of transaction and a general license authorizes a transaction in response to a written license application.
D. A specific license authorizes a transaction for an entity and a general license authorizes a transaction for an individual.

Antwort: B

Begründung:
Distinguishing General and Specific Licenses:
* Ageneral licensepermits predefined categories of transactions without individual approval.
* Aspecific licenseis issued for unique transactions based on a written application evaluated on a case-by- case basis.
OFAC Guidance:
* Auditors should verify that transactions routed through sanctioned countries align with the licenses and confirm appropriate documentation for compliance.

45. Frage
Audits are designed to provide assurance that what key aspect of risk management framework is adequately designed and functioning effectively?

A. Reporting
B. Risks
C. Procedures
D. Controls

Antwort: D

Begründung:
Audits are primarily designed to evaluate the adequacy and effectiveness of controls within a risk management framework. This includes assessing whether the controls are properly designed and functioning to mitigate identified risks effectively.
CAMS-Audit guidance highlights the critical role of controls in ensuring compliance with AML/CFT regulations and managing operational risks.

46. Frage
Which conclusion should the auditor make regarding the staff attendance of the periodic AML training program organized by the bank?

A. Staff attendance is incomplete because the board of directors is not part of the staff required to attend the periodic trainings, and there is no other specially designed AML training for the board.
B. Staff attendance is complete because the training is mandatory for staff in the business, operations compliance and senior management whose duties involve knowledge of AML controls and processes.
C. Staff attendance is incomplete because the compliance officer or the delegates are not part of the staff facilitating the 3-hour periodic AML training.
D. Staff attendance is complete because all staff in the institution are required to attend the AML training as part of the staff onboarding process.

Antwort: A

Begründung:
Importance of AML Training for All Levels of an Institution:
* Advanced CAMS-Audit and FATF emphasize that AML training programs should be inclusive of all stakeholders, including senior management and board members, as they are integral to establishing an effective AML/CFT compliance culture.
Board-Level Training Specifics:
* Directors require tailored AML training to address strategic oversight responsibilities rather than operational controls. Periodic training is mandatory to keep the board updated on regulatory changes and institutional risk profile adjustments.
Audit Observation:
* Exclusion of the board from AML training reflects a gap in the institution's AML framework, potentially exposing it to regulatory scrutiny.
Reference to AML/CFT Standards:
* FATF Recommendations mandate training for all levels of an institution, explicitly highlighting senior management and governance roles in compliance efforts.

47. Frage
An auditor is asked to select a judgmental sample from a population of 1 000 clients onboarded during the previous 12 months. Which step should the auditor take first?

A. Evaluate quality assurance processes tor onboarding new clients.
B. Review the CDD onboarding policies and procedures to determine the criteria for selection.
C. Initially sample 10% of new clients onboarded.
D. Request a list of high-risk clients onboarded from management.

Antwort: B

Begründung:
First Steps for Sampling:
* Reviewing onboarding policies ensures the sampling aligns with established risk criteria, improving the relevance and accuracy of the audit findings.
Regulatory Emphasis:
* FATF guidance stresses aligning audit sampling with organizational risk assessments and onboarding standards.

48. Frage
......

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