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Preparing for the IIA-CIA-Part2 Exam requires a significant amount of study and review. Candidates must have a thorough understanding of internal audit principles and practices, as well as a familiarity with the exam format and question types. To help candidates prepare for the exam, the IIA offers study materials, including textbooks, online courses, and practice exams. Additionally, many candidates choose to join study groups or hire a tutor to help them prepare for the exam.
IIA Practice of Internal Auditing Sample Questions (Q625-Q630):
NEW QUESTION # 625
Which of the following would be the most helpful to a chief audit executive when developing a talent management strategy?
- A. Maturity analysis
- B. Gap analysis
- C. Extent of external audit coverage
- D. Staff preferences
Answer: B
NEW QUESTION # 626
When a significant finding is noted early during a review of the accounts payable function, which next course of action is best for communicating the issue?
- A. Intern accounting management via an interim memorandum update
- B. Note the item in the workpapers for inclusion in the final audit report
- C. Call a meeting and discuss me issue with the audit committee
- D. Alert the CEO as soon as the issue is discovered
Answer: A
Explanation:
When a significant finding is noted early during a review of the accounts payable function, the best course of action for communicating the issue is to inform internal accounting management via an interim memorandum update. This allows for timely communication and potential early remediation actions, ensuring that management is aware of the issue and can address it promptly before the final audit report is issued.
Reference:
The Institute of Internal Auditors (IIA) Standards
Internal Audit Communication and Reporting Protocols
NEW QUESTION # 627
When estimating the impact of an inherent risk, which of the following should internal auditors consider?
- A. Financial and nonfinancial factors related to the risk
- B. The residual risk following implementation of appropriate controls
- C. The probability and frequency of occurrence
- D. The number of risks identified on the heat map
Answer: A
Explanation:
When estimating the impact of an inherent risk, internal auditors should consider both financial and nonfinancial factors. Financial factors include direct monetary impacts, while nonfinancial factors may include reputational damage, operational disruptions, and compliance issues. Considering a broad range of factors provides a comprehensive understanding of the potential impact of the risk, which is essential for effective risk assessment and management.
Institute of Internal Auditors (IIA) Standards: Performance Standards 2120: Risk Management COSO Enterprise Risk Management (ERM) Framework: Risk Assessment and Risk Response Components
NEW QUESTION # 628
The chief audit executive was asked to define me internal audit activity s key performance indicators (KPIs) tor the upcoming year. The KPIs must measure efficiency and effectiveness. Which of the following is an example of a KPI that measures effectiveness?
- A. Internal audit reports are consistently submitted prior to the audit report deadline
- B. Internal auditors identify a minimum number of issues and provide recommendations to address them for each audit
- C. There is a significant reduction of travel costs per project over the next fiscal year
- D. Post engagement surveys completed by management indicate a "meets or exceeds expectations" idling
Answer: D
Explanation:
A key performance indicator (KPI) that measures effectiveness reflects how well the internal audit activity achieves its objectives and meets stakeholder expectations. Post-engagement surveys completed by management, indicating a "meets or exceeds expectations" rating, directly measure the perceived value and impact of the audit work. This KPI shows whether the internal audit function is providing useful insights, recommendations, and assurance that align with management's needs and expectations, thus demonstrating the effectiveness of the audit activity.References:
* Institute of Internal Auditors (IIA), Practice Guide - Measuring Internal Audit Effectiveness and Efficiency.
NEW QUESTION # 629
Which of the following conclusions would be appropriate for a beginning auditor performing an audit of a payroll department?
- A. Employee taxes have been deducted at the correct rates, and the taxes have been forwarded to the appropriate government agency.
- B. The payroll department staff has the appropriate level of skills.
- C. Although there is insufficient segregation of duties, the impact is mitigated by compensating controls.
- D. The payroll computer system should be replaced.
Answer: A
NEW QUESTION # 630
......
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