The Chief Compliance Officer from a bank has approved a background check policy for all new hires. Which of the following is the policy MOST likely protecting against?
A.
Preventing any current employees' siblings from working at the bank to prevent nepotism
B.
Hiring an employee who has been convicted of theft to adhere to industry compliance
C.
Filtering applicants who have added false information to resumes so they appear better qualified
D.
Ensuring no new hires have worked at other banks that may be trying to steal customer information
The answer here is "B," as the compliance officer's duty is not to verify information on your resume, but to ensure you are fit to serve in the financial institution, so he or she would be more concerned with your criminal background, and not so much your misrepresentation of a few facts on your resume.
B. Hiring an employee who has been convicted of theft to adhere to industry compliance
The background check policy approved by the Chief Compliance Officer for all new hires is most likely protecting against hiring individuals with a history of criminal activities, such as theft. This is important for adhering to industry compliance standards and ensuring the integrity and trustworthiness of employees in sensitive positions within a bank. Background checks are commonly used to identify potential risks and maintain a secure and compliant workforce.
CompTIA SYS-601 Sec+ (pg. 522) study guide states "includes background checks designed to uncover any ciminal activity or any other past behavior that may indicate that a potential employee poses an undetected risk"
Since CCO's have intricate knowledge of compliance rules and their responsibilities includes compliance training and ensuring that industry compliance is followed, answer B is the correct choice since the last part of the answer indicates "adhere to industry compliance". This is policy is protecting compliance.
The answer is 'C'. The reason for background checks is to check the integrity of the person applying. Yes you will also catch criminal records, but it's still most dishonest people will tell little lies, this shows they have low integrity.
ChatGPT says:
The policy MOST likely protecting against is:
C. Filtering applicants who have added false information to resumes so they appear better qualified
A background check policy is primarily designed to verify the accuracy of information provided by job applicants and to ensure that applicants do not falsify their qualifications or experience. This helps in maintaining the integrity of the hiring process and ensuring that candidates are accurately representing themselves.
I think it is important to indicate to ChatGPT that the question is in the context of CompTIA material. This is the response I got:
In the context of the scenario described and considering CompTIA-related knowledge, the policy approved by the Chief Compliance Officer for a bank is most likely protecting against:
B. Hiring an employee who has been convicted of theft to adhere to industry compliance
Background check policies are often implemented to verify the suitability of candidates for employment, especially in roles where trust and integrity are critical, such as in a bank. Checking for criminal records, including convictions related to theft or fraud, is a common component of background checks to ensure compliance with industry standards and regulations. This helps the organization make informed decisions about the suitability of individuals for positions that involve handling sensitive financial information.
Answer in this scenario is definitely B. Key words here are "Compliance Officer" and "Industry Compliance". CO gave that approval in order to comply with industry standards. HR could give another approval for the purpose of verifying claims on CV but it was to comply with regulation in this case
C (Filtering applicants who have added false information to resumes so they appear better qualified) makes the most sense because it covers B (failure to disclose convictions, and thus if you were convicted of theft you'd be in prison and have to lie about where you were during that time).
You don't put if you have been convicted on a Resume. Compliance officers don't check backgrounds for Resume info, they check it for personal info not job experience. Answer is B.
A background check is not just criminal history. A background check includes work history and helps when applicants LIE about their work history. Everything on your résumé is what YOU say it is. A background check captures a lot of information to verify if that is true on top of Criminal History. I can see why B is a good answer but I don’t see why C is neglected. This is once again, another misleading question because a background check provides information beyond just criminal history.
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