Strengthen compliance culture construction to build the cornerstone of internal control management

Strengthen compliance culture construction to build the cornerstone of internal control management

Tian Deming

In recent years, Shandong Changdao Rural Commercial Bank has adhered to the implementation of the overall work ideas of the "123456" of the Party Committee of the Shandong Provincial Federation of Shandong Province, continued to strengthen the business philosophy of "compliance as the center", and conducts a solid work to carry out compliant cultural construction work. The solid internal control management cornerstone that dare not violate, does not want to violate, and does not want to violate ".

Strengthen the construction of compliance mechanisms. Continue to promote the implementation of the "business philosophy of compliance -centered". In accordance with the guidance of the Shandong Provincial Union's internal control mechanism construction, the headquarters, responsibilities and post settings have been adjusted, and the requirements of the internal control mechanism construction have been completed on time. The implementation of the implementation has further improved the "three -way defense line"; the annual compliance cultural construction work plan is formulated, the work goals and work measures are clarified, and the actions of "compliance, compliance, and compliance of compliance" will be promoted , Build a solid foundation foundation; organize employees to participate in compliance oaths and compliance commitments signing activities in the hierarchical level, carry out the "compliance discussion" activities of all employees, and continuously enhance the sense of responsibility and mission of all -member compliance operations. Feelings; refine the implementation of the rules and contents of the preaching regulations. Since the beginning of this year, the executives have carried out compliant preaching 8 times with the help of the monthly governor's office and business analysis. Compliance talks, continuously promote all members to strengthen self -restraint and self -supervision.

Carry out compliance training and education. At the beginning of each year, the bank forms a compliance training education plan for the characteristics of different positions in accordance with the principles of "highlighting key points and hierarchical training". Based on the annual training and education plans formulated at the beginning of the year, each functional management department formulates training programs based on the different characteristics of the training objects and conducts differentiated training. In order to solve the problem that the island's inconvenient training is inconvenient training, the bank invested more than 25 million yuan to build a video conference system, and used the "Internet Academy" platform of the Provincial Press to carry out employee learning training examinations to conduct training and evaluation to improve training quality and efficiency Through a series of learning and testing activities, create a good learning atmosphere of "comparison, learning, catching, gang, and super" of all employees' theories and skills, further enhance the awareness and business skills of all employees, and pay attention to the construction of employee ideas. From the two levels of executives and business bar lines, the case warning education analysis activities are carried out monthly, and the awareness of employees' compliance performance is continuously enhanced.

Strengthen employee behavior management. Strengthen employee behavior monitoring, in -depth investigation of employees 'abnormal behaviors, actively play the role of "two supervision", integrate employee's abnormal behavior investigation work with the daily supervision of party branches and party members' democratic supervision work, adhere to the principle of "regular inspections, dynamic control", organize and organize development Employee abnormal behavior investigation work; in -depth investigations of employees' abnormal behaviors through visits, home visits, discussions, etc., especially strengthening behaviors of employees, which may produce moral risks, and business operation details. "System", the rotation plan for employee positions is formulated at the beginning of the year, and the rotation exchange is implemented according to the plan after reviewing and agreeing with the party committee to effectively prevent operating risks and moral risks; actively carry out "flight inspection" The chemical flight inspection plan is determined according to the inspection object to effectively prevent the right of power at all levels, decision -making, disordered decision -making, managing employment, and misconducting behaviors.

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