Continuous Automated Compliance Validation CT-FT Practice Questions (Page 5)

Questions 21–25

1. 21application · medium

   A compliance team has implemented continuous automated compliance validation and wants to monitor its effectiveness over time. They are concerned about the number of false positives generated by the automated checks. Which monitoring approach would best help them track and reduce false positives?

   • ATrack the percentage of automated alerts that are confirmed as real violations.
   • BTrack the time taken to remediate confirmed violations.
   • CTrack the number of compliance officers on the team.
   • DTrack the total number of automated checks executed each week.
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2. 22expert · hard

   A compliance team has implemented continuous automated compliance validation and is monitoring key metrics. They notice that the number of false positives is increasing over time, while the number of true positives remains stable. What is the most likely cause of this trend?

   • AThe team is investigating alerts more thoroughly, confirming more as true positives.
   • BThe automated checks are becoming outdated as regulations change.
   • CThe compliance team is ignoring alerts, leading to more false positives.
   • DThe system is generating fewer alerts overall.
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4. 23application · medium

   A compliance team has been running continuous automated compliance validation for several months. They notice that the automated checks frequently flag minor configuration changes that do not actually violate any regulation. This is causing alert fatigue and distracting the team from real issues. What is the most likely cause of this problem?

   • AThe checks are producing false negatives, missing real violations.
   • BThe checks are too sensitive, generating false positives.
   • CThe checks are not integrated with the CI/CD pipeline.
   • DThe checks are running too infrequently to catch real issues.
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5. 24foundation · easy

   What is the primary purpose of continuous automated compliance validation in a finance testing context?

   • ATo generate compliance reports manually for external regulators
   • BTo automatically and continuously verify that systems and processes adhere to regulatory and internal policy requirements
   • CTo perform a one-time audit at the end of a project to confirm compliance
   • DTo replace all manual testing activities with automated regression tests
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6. 25expert · hard

   A compliance team has implemented continuous automated compliance validation for their trade surveillance system. The automated checks are generating a high volume of alerts, but only a small percentage are confirmed as real violations. The team is spending most of their time investigating false positives. What is the most effective way to address this issue?

   • AHire more compliance analysts to investigate all alerts.
   • BIgnore the alerts and rely on periodic manual testing instead.
   • CIncrease the threshold for triggering an alert to reduce the number of false positives.
   • DRefine the rules used by the automated checks to better distinguish real violations from benign activity.
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