Compliance management debriefing report

Compliance Management Debriefing Report 1

Dear leaders and colleagues,

　　Hello everyone!

　　Since the beginning of this year, according to the requirements of the superior bank, the sales department has carried out special education and learning activities to learn the Code and compliance culture, which fully demonstrates the importance that the superior bank attaches to the study of the Code and compliance management. Now I would like to study the Code and implement it, and report on my work as follows:

　　1. Learn the basic information of the Code

　　In order to effectively improve the consciousness of operating in accordance with laws and regulations, change the concept of operation and management, establish the awareness of compliance with laws and regulations, and improve the overall risk management ability and the level of internal control case prevention. According to the deployment of the sales department, I participated in the special education and learning activities of learning the Code of Conduct and compliance culture.

　　First, after participating in the mobilization meeting, I first conducted self-study, studied the mobilization speech of the third-level leaders of the sales department of the regional bank, the original text of the "Code", and consciously recorded the study notes

　　Second, after the end of the study, he participated in a big discussion on learning the "Code" and using the "Code".

　　The third is to take an examination to study the Code. Through this theme education activity, the awareness of risk prevention was further improved, the awareness of compliance operation was strengthened, and the responsibilities of the position and the significance and importance of this theme education activity were clarified.

　　Through study, we have profoundly realized that the occurrence of any mistakes, risks, problems, and cases is not formed suddenly overnight, but will go through the objective natural law of changing from small to large and from quantitative to qualitative. Through the study, we further understand the importance and urgency of legal and compliant operation to the operation and management of our bank, and deeply understand the harmfulness of illegal operation. I am well aware that operating in accordance with laws and regulations is the basic principle of the operation and management of modern commercial banks, and it is also the guarantee of adhering to the correct business direction, and it is also the foundation for financial enterprises to develop and protect themselves and prevent financial risks. Through the in-depth study of relevant systems, they have higher requirements for improving their business quality and the consciousness of implementing the system, and have greatly helped to identify and control various risks in the business, actively standardize the operation behavior and eliminate hidden risks, establish confidence in the reform of the Agricultural Bank of China, enhance the sense of responsibility and mission to safeguard the interests of the Agricultural Bank of China, and establish a good compliance culture.

　　Implementation of the Code

　　1. Be able to pay attention to strengthening learning and enhancing the concept of legal compliance management

　　Strengthen the risk prevention education of employees and themselves, recognize the complexity of society and the universality of bank operation risks, and realize that banks themselves are high-risk industries, and risk prevention must be put in the first place. Be able to start from your own position, consciously abide by the rules and regulations, consciously resist all kinds of discipline violations, violations, and violations, eradicate trust instead of management, habits instead of systems, and feelings instead of discipline, cherish your career, regard the system as life, correct violations such as mine clearance, enhance the awareness of risk prevention and self-protection, improve standardized operations, and prevent the occurrence of cases from the source.

　　2. Be strict with yourself and take the lead in setting an example

　　In my work and life, I am strict with myself, measure my words and deeds by the content and standards of the Code, consciously abide by the party's political discipline and financial laws and regulations, and stress the overall situation, principles, and unity in the department. In work and life, we should first do what we ask our comrades to do, and we will resolutely not do what we ask our comrades not to do. Everything is based on the overall situation, the interests of the collective and employees, and the interests of the party, the state and the Agricultural Bank of China. At the same time, it is strictly required that other comrades in their departments handle affairs in strict accordance with the rules, handle problems impartially at the grassroots level and solve problems at the grassroots level, strictly prohibit favoritism and irregularities, and solve them. Actively advocate mutual supervision and reminders among colleagues to build a harmonious team.

　　3. Strengthen internal control and management, and insist on grasping both hands

　　Judging from the economic cases that have occurred in the financial system in recent years, the "nine out of 10 cases" have not followed the rules, operated in violation of regulations, failed to carry out detailed inspections, and failed to supervise effectively, which is really an important root cause, and countless cases, accidents, and lessons have all reflected that there are still certain loopholes in internal control management. It is precisely the imperfection of the system that has led some people to take advantage of loopholes, thus causing losses to state funds. Therefore, in ordinary times, attention is paid to constantly improving various management methods, conscientiously and solidly implementing the provisions of the case prevention responsibility system, strengthening the internal prevention mechanism, and striving to handle business under the premise of standardization. Adhere to the unwavering grasp of the work of the business development center with one hand, and the foundation of internal control case prevention and management with the other hand, operate steadily in accordance with laws and regulations, and always tighten the string of internal control and case prevention, and firmly establish risk awareness.

　　4. Organize and implement the compliance work of the department

　　Based on the Code of Conduct, high standards are required for employees. In accordance with the department's job responsibilities and relevant rules and regulations, when conscientiously conducting self-examination of the work, problems are found to be studied and solved in a timely manner, and the hidden dangers of the problems that have been discovered can be timely warned and rectified in a timely manner. Effectively improve the consciousness of department employees to operate in accordance with laws and regulations, further educate and guide employees to change their management concepts, establish awareness of compliance with laws and regulations, and improve their overall risk management capabilities and internal control and case prevention levels.

　　The Code inspects educational activities and special case management work, and the construction of corporate culture is an important part of our compliance work. At the same time as carrying out the Code inspection and education activities

　　The first is to cooperate with the special governance of cases, and thoroughly investigate the violations of rules and regulations in the past work against the system, and operate in compliance.

　　The second is to combine the inspection and education activities of the Code with the implementation of ISO9000 quality management, according to the actual situation of the work, to further improve the process of each business, each post and each work, and strive to achieve standardized management and continuous improvement, standardize the management and business operations of the department, and lay a good foundation for the implementation of fine management.

　　Third, there are problems and the direction of efforts

　　For the development of applied science:

　　First, it is not enough to grasp the methods of viewing and guiding and promoting compliance management.

　　Second, the implementation of various rules and regulations is sometimes lax, and there are still certain problems in compliance management.

　　Third, the department's work style is not in place, resulting in insufficient work efficiency and poor coordination and communication among department employees.

　　Fourth, the execution is not strong enough, and the fine management is not in place: it is manifested in the lack of team spirit, slow information feedback, and insufficient efficiency of execution.

　　In the future work, I will conscientiously summarize and analyze the past mistakes, further emancipate the mind, change the concept, strengthen management, strive to improve the level of execution and fine management, operate in accordance with the law, strive to do a good job in my own work, and make greater contributions to the healthy development of our various business developments.

　　Compliance Management Debriefing Report 2

Dear leaders and colleagues,

　　Hello everyone, I'm Xiaoxi from the Wuantun branch.

　　Since joining the Xinhe family in 20xx, it has been xx years, from a college graduate who knows nothing about bank work to today with a certain professional knowledge, I have a lot of people and things to thank, no matter how big or small the risk, bit by bit to promote my slow growth, with the in-depth understanding of the banking industry, more and more aware of the importance of compliance, sometimes, just a moment of negligence can cause the loss of themselves and the credit union's property. Compliance is a responsibility, an awareness, and a habit. Good habits can make us reduce a lot of unnecessary troubles, and my 20xx years of work experience have taught me a truth, that is, "no risk is too big".

　　I believe that business errors are unavoidable problems for every Xinhe employee, but there is one thing we can do, that is, we can adhere to the principle more, no matter the amount in the business process, one more meticulous and one more check, the error can be greatly reduced. Countless facts have proved that these mistakes in the process of handling business are often higher when the business volume is less than when the business volume is large, that is, when there are relatively few customers who come to handle the business, the risk reminder in our heart will be reduced, and the laxity in the heart often causes the actual occurrence of risks. For example, the customer withdraws 10,000 yuan, but we only pay 1,000 yuan for the customer, but still give the customer 10,000 yuan, we often find that the account does not match the actual account after the actual risk occurs for a period of time, and sometimes even when the account is settled, it is not easy to recover 9,000 yuan.

　　The bank is a high-risk industry, the bank's system is exchanged for a bloody lesson and a painful price, so we must operate in compliance, in the implementation of the system can not have a little luck, risk is everywhere, can happen to yourself at any time, there is such a case around me, one day, an 80-year-old grandmother and her two granddaughters in their 20s ran to our business outlets, saying that their grandmother last time a person to our outlets to withdraw 900 yuan, there was 500 yuan of counterfeit money, a bite of the grandmother to withdraw money home put the money in the box has not been touched。

　　It wasn't until yesterday that we found out that there was counterfeit money in it, we found that the last time we withdrew money from today has passed more than 20 days, we patiently and meticulously explained to them, our tellers are under monitoring when handling each transaction, and also have to be on the money counter twice, to ensure that the money is correct and there is no counterfeit money, will be handed over to the customer, but the grandmother insisted that the counterfeit money was taken from us. The teller did not pay the money directly to her on the money counting machine, in order to give the customer an explanation, but also in order to repay the innocence of our tellers, and maintain the reputation of the credit union, we will monitor more than 20 days ago to the grandmother's family, the monitoring is clearly recorded, our tellers handle the business in compliance, verbally prompt the grandmother to look at it when paying, and after two times on the money counting machine, it will be 900 yuan to the grandmother's hands, after reading the monitoring of the three grandparents were speechless, this is a real case that happened around us, if our teller did not follow the procedure, or was lucky, felt that 900 yuan did not need to be on the money counting machine, and pay the money directly to the customer, then when the customer comes back to make trouble, we will be at a disadvantage, and sometimes even get ourselves involved in lawsuits.

　　As a Xinhe employee, we face a variety of customers, high and low quality, always warn of risks, strengthen compliance awareness, and act according to the system, which is also a good protection for ourselves. Strengthening the awareness of compliance operation is not an empty word on the lips, the establishment of various rules and regulations, is summed up through a lot of practical work experience, as long as we abide by it well, earnestly implement, then why are we not taking a smooth shortcut, why do we have to break into the minefield again and again?

　　"No matter how big or small the risk is, compliance is in my heart", let us turn compliance into a kind of awareness, into a habit, walk with the heart, start from bit by bit, our career will be more exciting, the credit union will be better tomorrow, how can we not continue to move forward in such a beautiful future.

　　Compliance Management Debriefing Report 3

Dear leaders and colleagues,

　　Hello everyone!

　　The training on counter compliance operation and risk prevention and control of commercial banks was successfully concluded under the wonderful explanation of the Deen Bank Research Institute, and the two days gathered the elites of several banks, and the teacher led us into the palace of learning in a relaxed and joyful atmosphere through humorous and witty language and vivid and interesting games. Let us once again profoundly realize that we must always keep a clear head in our work, not take it lightly, further enhance our sense of crisis, enhance our sensitivity and predictability to new situations and new problems, abandon all kinds of careless thinking and erroneous understanding, always remain vigilant, and effectively curb the occurrence of all kinds of risk cases. For the above problems, after studying and thinking, I feel that we can start from the following aspects to improve the effectiveness of case prevention and control.

　　1. Establish "compliance awareness" and improve the level of ideological education.

　　The first thing to solve in the case prevention and control education activities is to solve the problem of a person's consciousness, and employees should realize that the system is not used to see, but to guide the actual work. In particular, the typical case of special management of cases should have a strong shock to every employee, and exemplary compliance with the internal control system is not only for their own care, but also for others. In this regard, this work should be carried out in depth and for a long time, do a good job in people's ideological work, and truly make every employee pay attention to it ideologically and consciously from action.

　　2. Intensify supervision and raise the cost of violating rules and disciplines.

　　Through on-site off-site irregular inspections and other measures, we will increase the control of each key link, strengthen the follow-up tracking and supervision of the implementation of the internal control system, and strictly deal with serious violations of the internal control system.

　　3. Improve working mechanisms to prevent moral hazards.

　　Moral hazard is an important factor in the occurrence of each case. Each piece has internal staff involvement. Behind the case, there are all perpetrators who have been planning for a long time, and they have taken advantage of some problems in the working mechanism to make meticulous preparations and wait for an opportunity to commit the crime. We need to change the working mechanism to prevent moral hazard from turning into actual risk. For example, in terms of working mechanism, job rotation can be carried out in an institutionalized form, audit and supervision work can be done in an institutionalized form, and employee training can be done in an institutionalized form.

　　Fourth, establish and improve various rules and regulations.

　　Strengthen the construction of the system, pay attention to the prevention of moral hazard of employees, strictly operate the process, put the ideological investigation of employees into the agenda, and pay close attention to the ideological dynamics of employees, and eliminate all kinds of hidden dangers that induce cases in the bud.

　　Fifth, earnestly strengthen their own quality learning.

　　Through the supplement of various knowledge, especially the study of rules and regulations, we should be familiar with and master the requirements of rules and regulations, and improve our comprehensive quality and analytical ability. Conscientiously perform work responsibilities and implement various systems into business activities. Strengthen the sense of responsibility, require yourself to love and dedicate yourself, take your profession seriously, be loyal to your career, work diligently, think carefully and act prudently, melt the sense of responsibility in the blood, reflect it in action, and accompany you.

　　This is a baptism of the soul and a warning to the bottom line, which makes us completely understand that only by sticking to the bottom line can we contribute. As the first door of risk identification and prevention and control, we must know the nine-character policy of "want to do things, know how to do things, and don't have accidents", always restrain ourselves with systems and ethics, and be a good employee who is compliant and legal, and a useful person.

　　Compliance Management Debriefing Report 4

Dear leaders and colleagues,

　　Hello everyone!

　　Through the study of the previous stage, I deeply realized that the compliance culture education activity is an educational method with the financial characteristics of ABC and a corresponding management system and organizational form in a specific historical period, and it is a value concept that ABC believes in and draws on the management experience of the Basel Committee on Banking Supervision and puts it into practice, and embodies the value standard, business concept, code of conduct, common belief and creativity, cohesion, etc. of ABC employees. Combat effectiveness is a strong political and organizational guarantee for promoting the reform and development of the Agricultural Bank of China. It can be said that the development of this activity has made me further understand my job responsibilities, purify my thinking, and improve my leadership ability.

　　1. Strengthening compliance culture education is the need to improve the level of operation and management

　　Carrying out compliance culture education activities is of positive and far-reaching significance for standardizing operational behaviors, curbing violations of laws and disciplines, and preventing the occurrence of cases. On the one hand, it is necessary to unify the understanding of leaders at all levels on strengthening compliance culture education, so that they can become advocates, planners and promoters of corporate compliance culture construction. Today's society is a knowledge-based economy, all kinds of new things are constantly emerging, and new businesses and new knowledge are emerging in an endless stream.

　　The development of the situation requires us to continuously strengthen our study, comprehensively and systematically study the knowledge of political theory, financial business, laws and regulations, etc., constantly update the knowledge structure, strive to improve the overall quality, and better meet the needs of the accelerated development of the whole bank's business. In accordance with the requirements of "one post with two responsibilities," we should conscientiously perform our duties, and in particular, we should pay attention to strengthening the study of political theory, economics and finance, laws and regulations, and other aspects of knowledge, constantly improve our overall quality, enhance our ability to distinguish between right and wrong, and to resist corruption and degeneration, so as to take a firm stand and be sober-minded in the face of major issues of right and wrong. At the same time, it is necessary to further correct the guiding ideology of operation, enhance the awareness of lawful, compliant and prudent operation, guide the various business activities of the Bank to the right track, and promote the healthy and effective development of various businesses. It is necessary to promote the style of seeking truth and pragmatism within our bank, form a business style of telling the truth, reporting the truth, making practical moves, doing practical things, and being pragmatic, create a good business environment, improve the management level, strict discipline, strict responsibility, pay close attention to implementation, strictly control all kinds of moral hazards, business risks and management risks, and maintain and enhance the image of ABC. On the one hand, it is necessary to raise the awareness of all employees on strengthening the education of corporate compliance culture, and the cadres and employees of the bank are the main body of the construction of corporate compliance culture of Quanzhou Agricultural Bank, and they are also the practitioners and creators of corporate compliance culture. From a practical point of view, many employees lack scientific knowledge and understanding of the connotation of corporate compliance culture education and construction, and confuse the construction of corporate compliance culture with the general cultural and entertainment activities of the enterprise, thinking that mentioning a few slogans, organizing some cultural and sports activities, and singing and dancing are the construction of corporate compliance culture. It is necessary to concentrate time and energy on doing a good job in the training and assessment of financial and accounting personnel, and strive to achieve comprehensive, systematic, professional, practical and promotion of business training, so that all accounting and cashier personnel are familiar with the system regulations, and strive to be qualified tellers, and the counter becomes a marketing stage; it is necessary to strengthen the political, ideological and professional ethics training of financial and accounting personnel, and adopt different forms such as substitute training and special training according to the actual situation of different positions, so as to make the comprehensive quality of the financial and accounting team on the original basis to a higher level. Through a series of activities, all employees can accurately grasp the true scientific connotation of the construction of corporate compliance culture, consciously integrate into the construction of corporate compliance culture, enhance the awareness of internal control management, pay close attention to basic management, and promote compliance operation in accordance with the law.

　　2. Strengthening compliance culture education is necessary to establish a long-term development mechanism

　　The construction of corporate compliance culture education is a huge and systematic project, which cannot be built overnight. It is necessary to reasonably determine the development goals, have certain planning goals in a period of time, and finally establish a mechanism to adapt to the long-term development of the enterprise. From the perspective of our bank, it should include the spirit of enterprise, values, corporate goals, enterprise system, corporate environment, corporate image, corporate etiquette, corporate logo, etc., and form a cultural business philosophy with its own characteristics.

　　First of all, it is necessary to adopt the forms of going out and inviting in, and through study, exchange and discussion, all employees can understand how ABC should develop, how employees should do their own work well in their own posts, how much difference they should have compared with other employees, and how they should improve, what their role is in the big family of Xinxing Branch, how much they have contributed, and what constructive opinions they have on the reform and development of ABC. It is necessary to establish the compliance culture of our bank by talking about understanding, personal outlook on life, world view and values, so as to improve the cohesion and combat effectiveness of ABC.

　　Second, it should be combined with the special management of cases and the ongoing special work on the management of commercial bribery, and it is necessary to make overall plans and reasonable arrangements, strengthen the analysis and research of business links that are prone to improper trading behaviors and commercial bribery, highlight key points, carry out special governance with a specific purpose, resolutely correct improper behaviors that violate business ethics and market rules in business activities and affect fair competition, and investigate and deal with commercial bribery cases in accordance with the law. It is necessary to carry out educational activities to encourage employees to report people and things that violate discipline and law, provide clues about cases, promote the in-depth development of special case work, and improve the corporate compliance culture. Finally, it is necessary to combine the actual work, conscientiously carry out standardized services, and carry out special study on some details and difficult problems in accordance with the provisions of the rules and regulations of the head office. For the current business operation and counter service situation, carefully summarize and subdivide customer groups and business needs, integrate limited resources, brainstorm for service focus with large contradictions and service difficulties, open up ideas, and constantly innovate service methods, so as to meet customer needs to the limit and enhance the essence of corporate compliance culture.

　　3. Strengthening compliance culture education is necessary to improve economic efficiency

　　The main purpose of strengthening compliance culture education is to reduce financial risks and realize the benefits of enterprises by improving the cohesion and centripetal force of enterprises. In the work, we should achieve the "three musts".

　　First, it is necessary to establish a correct guiding ideology. It is necessary to pay attention to the safety and liquidity of funds while pursuing profits, and prevent the tendency to ignore risk prevention and the construction of internal control mechanisms for the sake of one-sided pursuit of high-speed business growth. In particular, it is necessary to guard against the idea of enterprises speculating in banks. A project will inevitably cause competition among multiple banks, and in the competition, enterprises will definitely put forward some unreasonable conditions for banks to increase the risk of loans. It is better not to develop than to develop blindly, resulting in the precipitation of new funds.

　　Second, it is necessary to establish and improve various rules and regulations. It is necessary to always put the building of systems in a prominent position, pay attention to using systems to restrain people, and use systems to standardize daily behavior.

　　Third, it is necessary to formulate and improve a series of rules and regulations in light of the actual work, persist in using the system to standardize the business operation process, ensure that there are rules to follow, effectively plug all kinds of loopholes, prevent the occurrence of violations, and ensure that there are no problems in every link. It is necessary to conscientiously learn from advanced international experience, actively use modern scientific and technological means, establish and improve the monitoring, assessment and early warning system covering all business risks, pay attention to the concentration of loan risk and the credit monitoring and risk warning of affiliated enterprises, attach importance to early warning, and conscientiously implement the registration and risk warning system for major defaults. It is necessary to establish and improve the internal control system, ensure the safety, liquidity and efficiency of operation, establish a checks and balances mechanism of self-adjustment, self-restraint and self-control, establish and improve the internal control system of continuous self-improvement in the process of pursuing self-economic interests, and strengthen the prevention of operational risks.

　　Fourth, we must persist in ideological education. It is necessary to firmly grasp the important link of ideological education, regularly carry out the study of relevant rules and regulations, carry out targeted education on party style and clean government, constantly enhance the awareness of operating in accordance with the law, and make use of the cases that occur around the financial system to make statements on the spot, so that all employees can always keep a clear head and consciously resist the erosion of all kinds of decadent ideas.

　　Compliance Management Debriefing Report 5

Dear leaders and colleagues,

　　Hello everyone!

　　In accordance with the spirit of the document, our committee has conducted a serious self-examination of the basic accounting work of the unit since the beginning of the xx month, combined with the actual situation of the unit, and now reports on the self-examination as follows:

　　1. Financial revenue and expenditure

　　In the process of financial work, the unit strictly follows the provisions of the "Accounting Law", sets up accounting books according to law, and ensures their authenticity and integrity, and conducts accounting, fills in accounting vouchers, registers accounting books, and prepares financial accounting reports according to the actual business matters of the unit. Strictly implement the relevant financial laws and regulations of the state, and all business matters that occur are uniformly registered and accounted for in the accounting books set up in accordance with the law, and accounting is carried out in accordance with the provisions of the national unified accounting system to ensure that the data is true and effective. When arranging expenditures, prioritize and ensure routine and key expenditure needs, which not only reflects the actual work needs, but also considers the possibility of financial resources.

　　2. Establishment and implementation of the internal control system of the unit

　　According to the actual work of the unit, in the process of establishing and implementing the internal supervision and control system, the "Property Management System" has been formulated. While establishing and improving various systems, the relevant personnel strictly abide by these rules and regulations in the process of work, effectively implement internal supervision and control, ensure the authenticity and integrity of the accounting work and the safety of the unit's property, strengthen the supervision and management of the unit's property and materials, put an end to the occurrence of various loopholes, and meet the following three requirements:

　　1. Clarify the responsibilities and powers of bookkeepers, approval personnel and handling personnel, so that they can be separated from each other and restrain each other, so as to clarify responsibilities, prevent fraud, and carry out various business matters in an orderly manner.

　　2. Clarify the approval procedures for financial revenue and expenditure and the authority and responsibility of the approver, standardize the use of various funds, and improve the efficiency of fund use.

　　3. Clarify the scope and expenditure standards of fund expenditure, take various effective measures to control fund expenditure, and eliminate the occurrence of waste.

　　3. Management and use of fixed assets

　　In order to strengthen the management and use of fixed assets, when purchasing fixed assets, procurement is carried out in strict accordance with government procurement procedures, and in accordance with relevant regulations, a system of verification of account books, funds and physical objects has been established. On the one hand, it is necessary to ensure that the balance of the relevant property and funds reflected in the account books is consistent with the actual amount; on the other hand, it is ensured that the accounts are consistent through the account book records, accounting vouchers, and the verification of original vouchers. There are no fixed assets that are not recorded, private use of public property and other violations.

　　Fourth, there are problems

　　Through self-examination, there are still some deficiencies in the process of financial management and financial work, and in the implementation of the internal supervision system and internal control system, it has not yet fully met the requirements stipulated in the "Accounting Law," and the budget management system, financial analysis system, and auditing system have not yet been established and perfected.

　　Compliance Management Debriefing Report 6

Dear leaders and colleagues,

　　Hello everyone!

　　The ancients said: There are no rules, there is no circle. This is especially true for the financial industry, a sound risk management mechanism and a mature internal control and compliance culture are the foundation and core of the long-term development of the banking industry, and the key to preventing financial cases.

　　1. Compliance is the foundation for the long-term development of the banking industry

　　The construction of compliance culture in the banking industry is a huge project, and the effective management of compliance risks can not only promote the regular operation of banks, but also effectively enhance the good reputation, brand value and core competitiveness of banks.

　　2. Compliance is the need to improve the economic efficiency of banks

　　The main purpose of strengthening the compliance culture education in the banking industry is to reduce financial risks and realize the benefits of enterprises by improving the cohesion and centripetal force of enterprises. While pursuing business development, we should pay attention to the risk controllability of the business, and prevent the neglect of risk prevention in order to pursue the rapid growth of the business one-sidedly. It is better not to develop, not to develop blindly, but to formulate a series of relevant rules and regulations in combination with the actual work to ensure that there are rules to follow in the process of handling business, and to ensure that there are no problems in every link.

　　As part of the bank, we are the backbone of the compliance culture. Whether the development of the banking industry is compliant or not is directly related to whether employees have a certain level of cultural accomplishment, whether they are honest and trustworthy, comply with laws and regulations, abide by rules and disciplines, and perform their duties. As we, we should improve our own recuperation from the following points to ensure the compliance of the bank.

　　1. Love and dedication, selfless dedication

　　Love and dedication is the most common dedication in all industries, it seems ordinary, but it is actually great. As far as individuals are concerned, work is the basic guarantee for a person's survival and development. As far as banks are concerned, the development of enterprises and the need for the selfless dedication of every employee to continue to grow stronger and invincible in this highly competitive financial industry.

　　If there is no good professional ethics, it will be difficult to serve the people, there will be no talk of their own career, there will be no prosperity of the unit's cause, there will be no development of personal career, and there will be no social value of personal existence. Emphasizing professional ethics also requires continuous learning in the work, always demanding themselves in accordance with professional norms, and working hard to make themselves invincible.

　　2. Strengthen the learning of business knowledge and enhance the awareness of compliance operation

　　As an ordinary employee in the banking industry, it is the most practical task of accountants to effectively improve their business quality and risk prevention capabilities, and comprehensively strengthen the quality and speed of settlement. In the increasingly fierce competition in the banking industry, I am clearly aware that as an accountant, I should learn the business with an open mind and exercise my skills attentively, and only the rapid and efficient settlement quality can strive for more benefits for our bank and win a better social image.

　　Strengthening awareness of compliance operations is not just an empty phrase. The establishment of various rules and regulations, is not out of thin air imagination products, but in the experience of a lot of practical experience and lessons summed up, only in accordance with the rules and regulations, we can protect their own rights and interests and safeguard the rights and interests of the majority of customers.

　　3. Enhance the awareness of the implementation of rules and regulations and the supervision and prevention of cases

　　The implementation of the bank's rules and regulations depends on the majority of employees' sober understanding and proficiency in the rules and regulations, there are rules and regulations that are not followed, there are rules and regulations are taboo in various industries, as an accountant, should correctly handle every business, carefully review each bill, correctly handle every business, strictly implement the security precautions of the business operating system, resist all kinds of violations, and insist on always doing things in accordance with the regulations. Only when the system is implemented, can the security of funds be guaranteed.

　　In recent years, an important line of defense to prevent financial crimes in economic cases in the financial system is ideological education, which should not only carry out positive education, but also adhere to regular case warning education, and often warn oneself that "do not stretch out your hand, you will be caught if you stretch out your hand", and consciously do not walk by the river, that is, do not wet your shoes. Improving rules and regulations and strictly exercising internal management are the guarantees for preventing economic cases. As an accountant, you should study from time to time, so that you can understand your responsibilities, refine the system, and operate strictly, and effective prevention and supervision in advance is an important part of preventing economic cases.

　　Compliance operation is more important than Mount Tai, only to achieve compliance and compliance everywhere, in order to eliminate all kinds of hidden dangers in the bud, cast the cornerstone of enterprise success, and make extraordinary achievements in ordinary positions.