Continuous Automated Compliance Validation CT-FT Practice Questions (Page 7)

Questions 31–33

1. 31application · medium

   A fintech company's compliance team currently runs a full regulatory control assessment every quarter. After a recent audit finding, they want to catch control failures sooner without waiting for the next quarterly review. They plan to embed automated checks into their existing software delivery pipeline so that every code change is validated against key regulatory controls before deployment. Which approach best matches this goal?

   • AAutomate only the final regulatory reporting, leaving the control testing manual.
   • BIncrease the frequency of the quarterly assessment to monthly, performed manually by the compliance team.
   • CReplace the quarterly assessment with a one-time automated control mapping exercise.
   • DKeep the quarterly assessment and add automated checks that run on every build in the CI/CD pipeline.
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2. 32application · medium

   A compliance team is implementing continuous automated compliance validation for a new product. They are concerned about the maintenance overhead of keeping the automated checks up to date with changing regulations. Which approach best addresses this challenge?

   • ASchedule regular reviews of the automated checks to align them with regulatory updates.
   • BUse the same checks for all products regardless of regulatory differences.
   • CAvoid using automation and rely on manual testing to reduce maintenance.
   • DSet the automated checks to run only once a year to minimize maintenance.
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3. 33expert · hard

   A compliance team has implemented continuous automated compliance validation for a trading platform. They are experiencing a high rate of false positives, which is eroding trust in the system. The team wants to reduce false positives without increasing false negatives. Which approach is most likely to achieve this?

   • ADisable the automated checks and rely on manual testing.
   • BRefine the rules to better differentiate between compliant and non-compliant behavior.
   • CIncrease the sensitivity of the automated checks to catch more potential issues.
   • DReduce the frequency of the automated checks to lower the number of alerts.
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