Free practice test

Compliance Officer Practice Test

Check what you know about the compliance officer job with 15 free questions and instant explanations.

Updated By the Career Education Institute Curriculum Team
About this practice test

15 multiple-choice questions on compliance officer knowledge, safety and vocabulary. Submit to see your score and explanations, or open any question’s answer as you go. Nothing is saved or shared.

Question 1 of 15AML stands for:
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Answer: Anti-money laundering. Finance rule.

Question 2 of 15A hotline is for:
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Answer: Confidential reporting. Reporting.

Question 3 of 15KYC means:
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Answer: Know your customer. Identity check.

Question 4 of 15Whistleblowers should be:
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Answer: Protected. Protection.

Question 5 of 15Policies work better with:
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Answer: Examples. Clarity.

Question 6 of 15Which term matches this definition: “Rule issued by an agency.”
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Answer: Regulation. Regulation: Rule issued by an agency.

Question 7 of 15What does “SOX” mean?
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Answer: Sarbanes-Oxley financial law.. SOX: Sarbanes-Oxley financial law.

Question 8 of 15Which term matches this definition: “Agency review.”
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Answer: Regulatory exam. Regulatory exam: Agency review.

Question 9 of 15What does “Whistleblower” mean?
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Answer: Person reporting wrongdoing.. Whistleblower: Person reporting wrongdoing.

Question 10 of 15Which term matches this definition: “Health privacy law.”
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Answer: HIPAA. HIPAA: Health privacy law.

Question 11 of 15What does “Code of conduct” mean?
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Answer: Ethics rules.. Code of conduct: Ethics rules.

Question 12 of 15Which term matches this definition: “System to follow rules.”
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Answer: Compliance program. Compliance program: System to follow rules.

Question 13 of 15What does “Corrective action plan” mean?
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Answer: Plan to fix findings.. Corrective action plan: Plan to fix findings.

Question 14 of 15Which term matches this definition: “Confidential reporting line.”
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Answer: Hotline. Hotline: Confidential reporting line.

Question 15 of 15What does “AML” mean?
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Answer: Anti-money laundering.. AML: Anti-money laundering.

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