Continuous Automated Compliance Validation CT-FT Practice Questions (Page 2)

Questions 6–10

1. 6expert · hard

   A financial institution is implementing continuous automated compliance validation across multiple business units. Each unit has different regulatory requirements and risk profiles. The compliance team wants to ensure that the validation is effective and maintainable. Which approach best aligns with best practices?

   • AImplement a single set of checks for all business units to ensure consistency.
   • BUse manual testing for high-risk units and automation only for low-risk units.
   • CRun the same checks for all units but only review alerts from high-risk units.
   • DTailor the automated checks to each business unit's specific regulatory requirements and risk profile.
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2. 7expert · hard

   A bank's development team is integrating continuous automated compliance validation into their CI/CD pipeline. They want to ensure that the compliance checks do not significantly slow down the pipeline, while still providing meaningful validation. Which approach best balances speed and thoroughness?

   • ARun compliance checks only after deployment to production.
   • BRun compliance checks manually on a weekly basis.
   • CRun a subset of fast, critical checks on every commit and run the full suite less frequently.
   • DRun all compliance checks on every commit, regardless of the change's impact.
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4. 8expert · hard

   A large bank is integrating continuous automated compliance validation into their CI/CD pipeline. They have multiple development teams using different programming languages and deployment tools. The compliance team wants to ensure that all changes are validated consistently across all teams. What is the most effective way to achieve this?

   • ARun compliance checks only in the production environment after deployment.
   • BLet each team implement their own compliance checks using their preferred tools.
   • CUse a manual compliance review process for each team's changes.
   • DCreate a centralized compliance validation service that all teams call from their pipelines.
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5. 9foundation · easy

   What is the main advantage of integrating compliance validation into a CI/CD pipeline?

   • AIt eliminates the need for any compliance testing after deployment
   • BIt allows compliance issues to be detected and addressed early in the development process
   • CIt ensures that all code changes are automatically compliant without review
   • DIt reduces the need for automated testing in other areas
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6. 10application · medium

   A compliance team has implemented continuous automated compliance validation for their anti-money-laundering (AML) screening process. They want to measure how effective the automated checks are at catching real compliance issues. Which metric would be most useful for this purpose?

   • AThe time taken to run the automated checks.
   • BThe total number of alerts generated, regardless of validity.
   • CThe number of automated checks that pass without any alerts.
   • DThe percentage of automated alerts that are confirmed as genuine compliance violations.
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