What are the bank s thoughts and measures for performing their duties in compliance?

Since the city branch launched the activity of "special education on compliance operation and risk prevention for senior executives of the sub-branch", I have attached great importance to this work and always regarded this work as the top priority of the sub-branch's work. On the basis of the phased results achieved in the management of the sub-branch, I have further innovated ways, taken effective measures, strictly stepped forward, and paid close attention to implementation, forming an environment for the construction of compliance culture in which the leaders of the sub-branch set an example, linked up and down, and took multiple measures at the same time, which effectively promoted the dissemination and development of the construction of compliance culture while comprehensively and solidly promoting.

1. An important safeguard for promoting the construction of a compliance culture.

1. The leaders of the sub-branch attach importance to being hands-on and play an exemplary role.

The leadership team of the sub-branch centered on me first carefully studied the relevant documents on the construction of compliance culture and deeply understood the great significance of carrying out the construction of compliance culture. Fully realize that the construction of compliance culture is an inherent urgent need for the survival and development of our sub-branches. At the same time, starting from myself, I practiced it and did it myself, which played an exemplary role.

I am not only a manager of the construction of a compliance culture, but also a practitioner. When handling business at the outlets, do not engage in privileges and do not take the fast lane, and queue up to handle business like ordinary customers.

2. Employees recognize the position and actively participate in the formation of a strong atmosphere of active and conscious learning.

Because of the self-centered branch collar.

Recently, the Lanzhou Branch of Industrial Bank further deepened the construction of a long-term mechanism for compliance and internal control management, and organized a series of activities of "compliance and internal control performance of duties by persons in charge of grassroots operating institutions". The activity formulated a grassroots assistance mechanism, opened a forum on grassroots compliance and internal control of branches, carried out a variety of methods such as "top leader" on compliance and signing a letter of commitment to perform duties, so as to consolidate the "one line of defense" compliance performance.

It is understood that in this activity, the Lanzhou Branch of Industrial Bank organized the heads of various grassroots operating institutions to further improve the list of necessary do-do for the performance of compliance at the grassroots level in light of the actual situation of the branch, and equipped liaison officers for the "internal control of grassroots compliance". Establish a "one-to-one" liaison mechanism to effectively convey the requirements of the head office and branches, clarify the main responsibilities, and refine the work content. Efforts should be made to solve the problems of insufficient information transmission, insufficient understanding of work content, and inability to start with grassroots internal control work.

Guided by the forum, IB Lanzhou Branch built a bridge of communication and listened to the voices of the grassroots. Through the establishment of compliance and internal control education and learning, case prevention work analysis, employee abnormal behavior management, anti-money laundering management responsibilities, computer room security management, business outlets site management, service charge management, information security management, service and customer opinion management and other 17 sections. Organize experts from retail, technology, operations, office and other corresponding departments to answer questions.

In the form of "one question and one answer", we will take the initiative to clear the obstacles to the performance of duties at the grassroots level and improve the ability of the grassroots to perform their duties.

It is understood that since the establishment of the forum, the branch has vigorously publicized it through email, training, etc., and has received positive responses from various grassroots operating institutions. The coverage rate of grassroots outlets is 100%, and the next stage of the branch is to rely on the forum to establish a knowledge base of compliance and internal control. Through the update and iteration of the content of the corresponding sections by various management departments, the Lanzhou Branch Forum was expanded and built into a "library" of compliance and internal control of the branch.

In the next stage, IB Lanzhou Branch will record the special lectures and compliance publicity contents into courseware through the mode of "one topic and one courseware", and upload them to the "Xingzhi" platform at the same time, so that employees can use fragmented time to learn, creating a good atmosphere of "everyone learns compliance" and "everything stresses compliance" of IB Lanzhou Branch.

The essence of a bank's compliance work is the work of being a human being. Only by adhering to the people-oriented concept of compliance management and continuously carrying out publicity, education and guidance can employees ideologically recognize the importance of compliance management, accept the concept of compliance, change from passive to active, and whether compliance management can develop healthily to a higher level and a wider field. Therefore, publicity and education are particularly important and should run through the whole process of compliance management.

Banks should form a normalized mechanism for compliance publicity and education by carrying out compliance publicity and discussion activities.

Banks' compliance work needs to adopt different methods for different targets, and adhere to the "four stresses" of compliance education. First of all, conduct compliance education for new employees through compliance declarations. Guide them to achieve compliance in accordance with the law, and stick to the bottom line of compliance from the first day of entering the industry.

Cadres and workers should be publicized in the process of posting, transferring, and promoting. Through admonishment talks and integrity tips, educate employees to establish a correct outlook on life and values. If an inspection finds a violation, it is necessary to declare the violation.

Through the analysis of violations, especially the relevant violators to "talk to themselves", and use the violations to tell the harm and lessons, urge employees to analyze and rectify the violations, and promote compliance.

By summarizing the effectiveness, experience and shortcomings of compliance, banks can guide employees to firmly establish new compliance concepts and actively abide by the law. In close connection with actual operation and management, we will continue to carry out in-depth compliance research activities in view of the weak links in internal control and compliance management. The compliance work of banks mainly focuses on sorting out and discovering the most intuitive and prominent vague understandings, risk tendencies and violation tendencies in the current operation and management of enterprises, and strives to deeply analyze, form consensus, solve problems, and cultivate culture and develop scientifically from the perspective of enterprise operation and compliance management.

Adhere to the implementation of the annual "work report, ethics report, compliance" and compliance commitment system for cadres and employees, organize employees to sign "compliance commitment letters", and strive to organically combine compliance management with the career development and daily operation and management activities of all employees, form institutional arrangements, and guide employees to actively comply with regulations.

It is necessary to strengthen the training of internal control and compliance content and system for bank employees, first of all, to formulate a scientific and reasonable training plan, and formulate the training content and progress according to the specific situation of employees and the situation of grassroots banks. The plan should have the characteristics of combining theory and practice, theoretical knowledge and the work content of bank employees, especially in the event of operational errors, how to judge and change is an important part and content of the training, and in the training process, it is necessary to strengthen the awareness and understanding of the bank staff on the implementation of the objectives, so as to better complete the work in the future.

First of all, it is necessary to have a very strong sense of compliance, which can be done through usual learning and education, but also to strengthen business training, regular training for employees every month, and strengthen the restraint mechanism, and establish a very comprehensive policy of restraint and supervision, so that employees can get better and better.

At this time, it is necessary to plan a reasonable plan, and then reasonably assign the work to each position, and then also have a good relationship with other departments, so that mutual supervision will be particularly conducive to the development of the bank.

First of all, it is necessary to comply with the relevant regulations, and must understand the operation mode of the bank, and must not do anything illegal and undisciplined, must have professional ethics, and must meet the national standards.

First of all, you should have a very good plan, this time you should complete it according to the plan, and you should strengthen your own feelings and have a sense of cooperation, and you should have a very strict constraint mechanism.

Introduction: Contemporary college students hope that they can better choose the job that suits them in terms of employment, so they will study hard during the university and do not miss any opportunity to interview in life. In this way, in the process of their own internship, they can also give full play to themselves, so that the company can find that their abilities are very good, and at this time, you can choose to take out some of the bachelor's degrees and degrees you have obtained before.

In this way, the other party can value themselves more, and I believe that everyone is more inclined to go to work in a bank or company, because these are more relaxed and very decent. However, if you want to work in these companies, you also need to strengthen your ability, so how should you do a good job in the compliance work of banks? Here are the following suggestions, I hope to help you solve the problem.

If you choose to work in a bank, you will have a corresponding understanding of the bank's compliance work. First of all, as a beginner, you also need to work harder than ordinary employees in the workplace, so that you can be appreciated by others. At the same time, you can also create a good environment for yourself, and you can also study the guidance documents for those compliance work in private.

In terms of documents, like some formal compliance work, there will be guidance documents, which can not only discuss the two issues of compliance and internal control together. Moreover, under the supervision of some work departments, many regulatory materials can clearly reflect the relevant work, some of his precautions and guiding directions. If you want to do it well, you need to know more about it.

In life, you also need to ensure that your knowledge of these aspects can be popularized, because different banks have different measures for compliance. Because the position and name of each department are different, like some large banks, its work division is more detailed, and it will also involve some other departments.

First of all, we need to learn about the relevant violations, and what are the penalties for specific violations. And you must think more and learn to avoid risks. And you must practice more, and ask in time if you don't understand.

If you want to do this job well, you must follow the bank's rules and work diligently every day so that you can do this job well.

It should be to obey the leader's arrangement, and then work hard in their own work, and secondly, they also need to improve their knowledge and skills, and also have a good relationship with other staff.

1) Make clearer provisions on the resource guarantee for compliance management, and effectively alleviate the problem of shortage of personnel and fatigue in the compliance management departments of commercial banks.

2) Specific measures should be proposed to effectively ensure the independence of the compliance department.

3) The compliance management of branches should be strengthened, and the compliance monitoring of "star presidents", "star account managers" and "star traders" should be strengthened.

4) Relevant systems for quantitative compliance risk management should be introduced. It has a closed vertical body to clarify the definition standards of compliance risk points, compliance risk quantification indicators and methods, compliance risk assessment standards and methods, and the setting and methods of compliance risk monitoring indicators.

5) Clarify the boundaries of responsibilities such as compliance management and operational risks.

6) Do a solid job in the implementation of the three compliance systems. Truly implement the incentive, assessment, accountability and reporting systems related to compliance management.

7) Commercial banks should strengthen the identification and monitoring of compliance risks. Explore the measurement and methods of compliance risk management, and establish compliance risk management technologies suitable for themselves.