What is included in the construction of internal control culture and how to strengthen the construct

Cultural construction? How much real work has been done???

Is cultural construction a conceptual game???

As for how to strengthen the construction of internal control and build a long-term mechanism to prevent operational risks, I think we should start from the following aspects:

1.To create an advanced internal control culture, we must be guided by scientific development and establish a healthy business philosophy. Correctly understand the importance of the internal control mechanism, strengthen the professional ethics training and warning education of employees, improve the value correlation between internal control and employees, and effectively prevent employees from violating and violating the law due to moral hazard.

By cultivating the compliance culture of financial enterprises, creating a good atmosphere of internal control culture, and combining education with management, incentives and constraints, this will not only help to improve the overall quality of employees, but also organically combine people's conscious behavior with the constraints of the system on people, and also help to prevent moral hazard. At the same time, it correctly handles the relationship between business development and risk management, immediate interests and long-term interests, firmly establishes the business philosophy of first standardizing and then developing, and strictly prohibits illegal business handling.

2.Strict job responsibility management, on the premise of risk prevention, cultivate a risk management culture. Job responsibilities should clarify the internal control responsibilities of each department, each post and subordinate branches, and the first level is responsible for the first level.

The implementation of tasks to posts, responsibilities to people, to determine people, things, responsibilities, so that the position, scope of work, responsibilities and authority are clear, so that the internal control covers all risk points, including the whole process of decision-making, implementation and supervision, and important posts and main risk links to achieve mutual restraint and mutual checks and balances.

3.To strengthen the construction of the basic system of risk management, it is necessary to consolidate the foundation for sustainable development with the aim of standardizing management. Strict post separation system and strengthen precaution; Strictly authorize the management system and strengthen the control of risks in the process; Strengthen the control of senior executives and personnel in important positions, and audit off-the-job.

For example, judging from the current management status of the grassroots banks of the Agricultural Bank of China, there are still many weak links, and the strengthening of management should start from the following aspects: first of all, it is necessary to strengthen the construction of the system, further establish and complete the system, clean up the blind spots of the system, make up for the blank spots of the system, adhere to the internal control first, the system first, so that all kinds of business behaviors are placed under the constraints of the system, strengthen the implementation of the system, especially to effectively implement the business operation system, management system, and punishment system, and integrate management and control into each post. Every link. Secondly, it is necessary to strengthen post control, according to vertical supervision and horizontal constraints, starting from optimizing business processes, forming a joint control mechanism of machine control and human control, and effectively solving the problem of loss of control of business operation posts.

4.To build an independent internal audit management system, it is necessary to strengthen supervision as a means to give full play to the role of functional departments. Implement the separation of business and supervision, and establish an independent internal audit management system, so that the internal audit work can truly play a detached and authoritative role.

Functional departments must conscientiously implement self-discipline and supervision, improve the effect of self-discipline and supervision, and should strictly follow the requirements of the self-discipline supervision responsibility system to enrich the regulatory force, perform regulatory duties, and strengthen and continuously innovate regulatory means. Overcome the idea of emphasizing supervision and ignoring rectification, investigate the problems found in supervision to the end, and seriously investigate the responsibility of relevant personnel. Strengthen communication and coordination between regulatory teams, pay attention to the exchange of regulatory means and the mutual use of regulatory results, and give full play to various regulatory departments and various supervision.