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Acams Advanced-CAMS-Audit Exam - Topic 3 Question 26 Discussion

An audit determines that an important control is not being performed. The operational manager responds to the audit comment stating that they do not have adequate resources in the department to accomplish this task. The audit item discussion between the auditor and the operational manager is a(n):
D) root cause analysis Nature of Discussion: Root cause analysis is required to identify underlying reasons for the failure to perform the control, particularly resource constraints. Key Compliance Justification: Addressing the root cause aligns with Basel Committee guidelines on improving control environments and addressing systemic issues in AML compliance.
A) general license authorizing a transaction for an entity, and a specific license authorizing a transaction for an individual.
B) internal control test.
C) sustainability assessment.

Acams Advanced-CAMS-Audit Exam - Topic 3 Question 26 Discussion

Actual exam question for Acams's Advanced-CAMS-Audit exam
Question #: 26
Topic #: 3
[All Advanced-CAMS-Audit Questions]

An audit determines that an important control is not being performed. The operational manager responds to the audit comment stating that they do not have adequate resources in the department to accomplish this task. The audit item discussion between the auditor and the operational manager is a(n):

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Suggested Answer: D

by Franchesca at Jan 05, 2026, 05:16 AM

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Norah
1 month ago
Right! It’s not just about the audit; it’s about fixing the problem.
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Colton
2 months ago
I agree. Without resources, controls fail. We must understand why.
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Leanna
2 months ago
Definitely! It’s a root cause analysis. We need to dig deeper.
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Nina
2 months ago
This feels tricky. I think it's about identifying the real issue.
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Leonora
2 months ago
Totally agree, they need to fix the underlying problems!
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Thurman
2 months ago
This aligns with Basel guidelines, so they need to step up!
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Abel
2 months ago
Wait, are they really out of resources? Seems fishy.
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Laquita
3 months ago
Definitely a root cause analysis situation.
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Lonny
3 months ago
Sounds like a classic case of resource issues!
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Marti
3 months ago
C) Sustainability assessment? Really? This is about finding the root cause, not some hippie-dippy environmental thing. D) all the way, baby!
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Tasia
3 months ago
D) Root cause analysis. Duh, it's right there in the question description. Gotta love when the answer is spoon-fed to you.
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Audria
4 months ago
A) General and specific licenses? What is this, a game of Monopoly? Clearly, the answer is D) Root cause analysis.
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Isabelle
4 months ago
B) Internal control test. The auditor is evaluating the effectiveness of the control, which is a key part of the internal control testing process.
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Ashton
4 months ago
D) Root cause analysis is the correct answer. The discussion between the auditor and the operational manager is aimed at identifying the underlying reasons for the control failure, which is likely due to resource constraints.
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Karina
4 months ago
I’m confused because I thought sustainability assessments were more about environmental impacts, so I don’t think C) applies here at all.
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Idella
4 months ago
The mention of resource constraints makes me lean towards root cause analysis, but I feel like I need to double-check the definitions.
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Teddy
5 months ago
I remember a practice question that discussed internal controls, so I wonder if B) internal control test could also fit here.
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Zack
5 months ago
I think this is about identifying the underlying issues, so it might be D) root cause analysis, but I'm not entirely sure.
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Harrison
5 months ago
This is a tricky one. I'm not totally sure if root cause analysis is the only right answer, but it does seem like the most relevant approach given the context provided. I'll make sure to carefully consider all the options.
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Judy
5 months ago
Root cause analysis makes the most sense to me. The question is specifically asking about the discussion between the auditor and manager, so I'd focus on digging into the reasons behind the resource constraints mentioned.
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Julian
5 months ago
Okay, for this type of question, I think the key is to really understand the context and the relationship between the auditor and operational manager. Identifying the root cause seems important to address the underlying issue.
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Quentin
6 months ago
Hmm, I'm a bit unsure about this one. Is the root cause analysis the only correct answer, or are there other possibilities like a sustainability assessment or internal control test? I'll need to think through the details carefully.
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Floyd
6 months ago
This seems like a straightforward root cause analysis question. I'd focus on identifying the key factors behind the operational manager's claim of inadequate resources.
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Nathan
1 month ago
Sounds like a classic case of resource issues.
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