AAIA practice questions 111–120

1. Question 111 · 124 in bank

   Which of the following components would MOST effectively address cumulative benefits as part of reinforcement learning (RL)?

   • AAgent function
   • BReward function
   • CValue function
   • DPolicy function

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   Answer: C

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2. Question 112 · 124 in bank

   Which of the following BEST demonstrates effective coordination to ensure comprehensive oversight of an AI system deployed across multiple jurisdictions?

   • AEstablishing joint oversight plans and communication channels between agencies
   • BCentralizing responsibility under a single supervisory authority
   • CRelying on automated processes for anomaly detection and documentation
   • DFocusing oversight activities on technical anomaly detection metrics

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   Answer: A

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3. Question 113 · 124 in bank

   Which of the following is the MOST important element of a risk management strategy when implementing AI in a financial services organization?

   • AAddressing bias and fairness concerns
   • BDeveloping an incident identification and response plan
   • CEstablishing an employee awareness program
   • DConducting a privacy impact assessment (PIA)

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   Answer: D

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4. Question 114 · 124 in bank

   An IS auditor is assessing the effectiveness of an organization’s AI governance framework. Which of the following presents the GREATEST risk to AI governance when deploying a new AI system across multiple departments?

   • ALack of integration with AI cybersecurity and business processes
   • BPrioritization of rapid AI deployment and scalability
   • CFailure to address ongoing adaptation to evolving AI capabilities
   • DManagement of AI governance by external consultants

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   Answer: B

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5. Question 115 · 124 in bank

   Which of the following techniques is BEST to use when there is a limited dataset of detailed images available to train a convolutional neural network (CNN) model?

   • ADuplication of current dataset
   • BSplitting the dataset 50/50 between training and testing sets
   • CTransfer learning from an open-source model
   • DMinority class undersampling augmentation

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   Answer: C

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6. Question 116 · 124 in bank

   An IS auditor is reviewing a dataset with fields related to a restaurant’s food delivery process. Which of the following data preparation techniques should be used to ensure that no single feature dominates and all fields are weighted appropriately in the AI model's correlations?

   • AScaling the Distance From Restaurant field
   • BInserting average values where Distance data is missing
   • CConverting Postal Code values from text format to integers
   • DRemoving duplicate entries for Customer Address field

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   Answer: A

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7. Question 117 · 124 in bank

   A school uses an AI detection tool to identify AI-generated content in student assignments. During an audit, the IS auditor notes concerns about the tool’s accuracy, with some original student work being incorrectly flagged as AI-generated. Which of the following should the auditor recommend to BEST address this issue?

   • AAdjust the detection tool’s settings to increase the model temperature.
   • BTrain teachers to interpret AI detection results cautiously before taking action.
   • CLimit the use of the AI detection tool to cases where plagiarism is strongly suspected.
   • DRequire students to sign a declaration confirming that their work is original.

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   Answer: B

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8. Question 118 · 124 in bank

   An IS auditor is reviewing an organization’s acceptable use policy for its internal AI system. Which of the following is MOST important for the auditor to confirm?

   • AEmployees from all organizational units are required to complete AI system training.
   • BThe policy is coordinated with AI strategic and risk management objectives.
   • CThe policy stipulates AI system-specific control types and implementation processes.
   • DOwnership of AI system risk has been assigned to the information security function.

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   Answer: B

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9. Question 119 · 124 in bank

   Which of the following is the MOST appropriate role for an IS auditor involved in the pre-implementation review of a new AI model?

   • ADeciding on the specific technologies to be used by the AI model
   • BDeveloping data governance controls specific to the AI model
   • CEnsuring industry best practices are followed
   • DAssessing the design of the project plan

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   Answer: C

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10. Question 120 · 124 in bank

    Which of the following would be of GREATEST concern to an IS auditor reviewing an organization’s use of an external AI service provider?

    • AService level agreements (SLAs) do not include penalty provisions for AI model errors.
    • BThe organization has not validated the origin of the vendor’s training data.
    • CThe provider does not hold an AI-specific security certification.
    • DIdentification of third-party AI risk was not completed as part of the onboarding process.

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    Answer: B

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AAIA practice, question 111. 124 questions available.