An organization is conducting an audit of an AI decision-making system being used for talent recruitment. Which of the following is MOST critical to evaluate in order to ensure the system meets stakeholder needs?
Answer(s): B
In recruitment, ensuring fair and unbiased decisions is critical to meeting stakeholder expectations, regulatory requirements, and ethical standards, making fairness the most important evaluation factor.
During an audit of a bank’s AI credit scoring system, an IS auditor discovers that applicants were not informed about automated decision-making. Which of the following should the auditor do FIRST?
Answer(s): A
The lack of disclosure indicates a gap in transparency and compliance with requirements for informing individuals about automated decisions, so the auditor should first assess the effectiveness of transparency controls.
A financial institution's internal audit team discovers that an employee in the financial control department frequently uploads the company's financial data to a public generative AI platform for analysis and reporting. Which of the following is the MOST significant risk posed by this action?
Uploading sensitive financial data to a public generative AI platform exposes confidential information to external systems, creating a high risk of unauthorized access and potential data leakage.
An IS auditor is evaluating a cybersecurity system that uses agentic AI for autonomous threat detection and incident response. Which of the following is MOST important for the auditor to consider?
Answer(s): D
Autonomous agents can take actions without human intervention, which introduces the risk of unintended or disruptive responses affecting business operations, making this the most critical consideration for governance and control.
An IS auditor is reviewing AI-driven processes that automate financial approvals. Which of the following poses the GREATEST challenge to maintaining separation of duties?
When AI algorithms lack transparency, it becomes difficult to determine how decisions are made and whether proper role separation is maintained, increasing the risk that conflicting duties may be executed without appropriate oversight.
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