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ISACA AAIA Exam Syllabus Topics:

SectionObjectives
AI Auditing Tools and Techniques- Audit Testing and Reporting
  • 1. Audit reporting and follow-up
  • 2. Evidence collection techniques
  • 3. Testing and sampling methodologies
- AI Audit Planning
  • 1. AI audit methodologies
  • 2. Audit resource planning
  • 3. Audit scoping and objectives
AI Governance and Risk- AI Governance Frameworks
  • 1. Regulatory and compliance considerations
  • 2. AI risk management
  • 3. AI policies and governance structures
- AI Security and Controls
  • 1. Vendor and supply chain risk
  • 2. Identity and access management
  • 3. Threat and vulnerability management
AI Operations- AI System Lifecycle
  • 1. Monitoring and maintenance
  • 2. AI system development and deployment
  • 3. Configuration and change management
- AI Data Management
  • 1. Operational AI controls
  • 2. Data quality and integrity
  • 3. Training and testing data

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ISACA Advanced in AI Audit Sample Questions (Q301-Q306):

NEW QUESTION # 301
What should be done FIRST when an AI-powered chatbot starts giving incorrect financial advice after a backend API change?

Answer: C

Explanation:
When an AI system begins giving incorrect financial advice, the FIRST step is to suspend the chatbot (D) to prevent ongoing harm. AAIA emphasizes protecting users from unsafe decisions as the top priority in AI operations.
Suspension allows the organization to:
Stop distribution of harmful advice
Assess impact and identify faulty API dependencies
Prevent regulatory or customer harm
Conduct root-cause analysis safely


NEW QUESTION # 302
When reviewing contracts or other lengthy documentation in the planning phase, which of the following tools would BEST extract relevant information?

Answer: B


NEW QUESTION # 303
Which role is BEST suited to define the implementation roadmaps for adopting AI solutions?

Answer: A

Explanation:
A steering committee is responsible for enterprise-wide strategic decisions, technology alignment, investment prioritization, and governance oversight.
AAIA states that AI implementation roadmaps must be driven by a group that can evaluate:
* Organizational strategy
* Technology readiness
* Budget allocations
* Risk appetite
* Regulatory obligations
* Cross-functional impacts
The risk committee (A) focuses only on risk, not implementation. Product management (C) has a narrow scope. Internal audit (D) evaluates controls, not roadmaps.
Thus, the steering committee is the appropriate authority.
References:
AAIA Domain 1: AI Governance Structures
AAIA Domain 4: Strategic Alignment and Oversight


NEW QUESTION # 304
An organization is using information gathered from customer accounts to train its AI chatbot.
Which of the following is the GREATEST risk associated with this practice?

Answer: A

Explanation:
The use of customer data in AI training presents a significant privacy risk, especially when the data is not properly anonymized or when consent has not been explicitly obtained. The AAIATM Study Guide classifies the unauthorized or inadvertent disclosure of personally identifiable information (PII) as the most severe risk in such contexts.
"Training AI models on customer data without proper safeguards can result in the unintentional exposure of personal or sensitive information, leading to data breaches and compliance violations."


NEW QUESTION # 305
From a data appropriateness and bias perspective, which of the following should be of GREATEST concern when reviewing an AI model used in a credit scoring system?

Answer: C

Explanation:
Using postal codes as a primary factor in credit scoring raises concerns of geographic and socioeconomic bias. Postal codes can serve as proxies for race, ethnicity, or income level-potentially violating fair lending laws and ethical guidelines.
"Auditors should flag models that rely on proxies for protected attributes. Postal codes are high-risk features that may inadvertently lead to redlining or other discriminatory practices." A, B, and C are more justifiable under fair lending guidelines. Thus, D presents the highest concern.
Reference: ISACA Advanced in AI Audit™ (AAIA™) Study Guide, Section: "AI Governance and Risk Management," Subsection: "Bias and Fairness in Financial AI Models"


NEW QUESTION # 306
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