Internal control compliance work plan

How time flies! It always goes by inadvertently. Our work will be enriched in busyness and harvested in joy. Let's make a plan for our future work. But what should the work plan write? The following is the internal control and compliance work plan for 2020 that I compiled for you. You are welcome to study for reference. I hope it helps you.

In order to implement the instructions of the superior bank on strengthening internal control, improve the internal control management mechanism, effectively prevent financial risks, promote the effective development of internal control, achieve legal compliance, strive to achieve the goal of no cases and no major violations throughout the year, and strive to shape the brand image of the Bank, the internal control work plan for 20XX is formulated.

First, the overall thinking and work objectives

In the year of 20XX, the general idea and working goal of the Bank's internal control work are: around the core working goal of annual profit exceeding RMB20xx proposed by the Party Committee of the branch, adhere to the guiding ideology of team building, strengthening supervision, preventing risks, ensuring safety and promoting development, continue to promote the matrix internal control management mode, implement the requirements of "three synchronizations" and "three responsibilities", and start with improving the level of network automatic control, management and control of line management departments and joint control of second-line lead departments. Focusing on education, organizational system, evaluation, supervision and accountability, we will carry out in-depth compliance awareness education, improve the quality of employees, enhance compliance operation ability, and strive to achieve the goal of no cases and no major violations throughout the year.

Two, strengthen and improve the construction of internal control system, and lay a solid foundation for internal control.

Strengthening and perfecting the construction of internal control system is the basis of internal control and the key to effectively prevent bank financial risks. According to the Guiding Principles on Strengthening the Internal Control of Financial Institutions issued by the People's Bank of China, the Bank should improve the existing rules and regulations, formulate unified business management systems and operating procedures, strengthen credit management, fund management, accounting management, safety management and administrative management, strengthen the self-supervision of posts such as accountants, cashiers and computer systems, and hand over and keep seals, secret cards and blank vouchers, so as to make all internal control systems scientific, rigorous, binding and effective.

Three, strengthen the construction of internal control team, improve the quality and ability of personnel

Strengthening the construction of internal control team and improving the quality and ability of personnel are the basis for doing a good job in internal control. First, internal control personnel should study hard, strengthen their own study, learn internal control laws, regulations, policies and systems, establish the concept of learning at work and learning at work, strive to improve their ability to solve new situations and problems in internal control work, deeply understand and accurately grasp the basic connotation, principle requirements and significance of internal control work, and effectively enhance the initiative and pertinence of work. Second, in order to improve their working ability, internal control personnel need to clearly understand the situation, pay attention to hot spots, grasp key points, coordinate relations, improve their ability to cope with emergencies, and do a good job in internal control to serve banking business management and economic development. Third, internal control personnel should face up to their position and role, mobilize their enthusiasm, carry forward the spirit of teamwork, play a collective role, establish a new concept that internal control work is also productivity, and give full play to the role of internal control work. Fourth, internal control personnel should strengthen the building of a clean and honest party style, implement the unified deployment of the responsibility system for building a clean and honest party style in the whole bank according to the requirements of "responsibility in place, supervision in place and investigation in place", clarify responsibilities and strengthen supervision, so as to lead by example, be honest and self-disciplined and avoid violations.

Fourth, strengthen the collection of internal control information and do a good job in internal control.

Internal control information is the basis and key to internal control. It is necessary to further establish and improve the internal control information system, expand the coverage of the information system, and ensure the full flow of information. On this basis, strengthen the collection of internal control information, make good use of internal control information, keep abreast of the internal control work of various institutions and lines, and provide information guarantee for the design, implementation and feedback of internal control. Establish information connection and regular contact mechanism with banks and their internal control management professional departments, timely, truly and completely convey regulatory intentions, exchange information and communicate problems. It is necessary to establish an error information recording platform to record all kinds of error information, and increase supervision over the implementation of business error rectification and punishment for relevant responsible persons.

Five, around the internal control objectives, do a good job of eliminating risks and preventing cases.

It is necessary to closely focus on internal control objectives, do a good job in risk elimination and case prevention, and improve the scientificity, pertinence and effectiveness of internal control supervision.

1, firmly establish the ideology of all staff to eliminate risks and prevent cases. Every employee should study hard, master the causes and laws of financial risks, and put the awareness of being alert to risks, facing risks squarely, managing risks and preventing risks in their own hearts. In any post and any work, we should be bound up with safety ideologically and never forget financial risks. Strengthen ideological and moral education, be honest and upright, treat fame and fortune correctly, be strict with yourself, stop procrastination, consolidate spiritual support, build a strong ideological defense line, achieve high standards of work, strict requirements of life, and a high level of style, and put an end to all bad behaviors and decadent styles in society. It is necessary to strictly implement various work systems, so that the system is non-negotiable and ruthless, and compliance management, compliance management and compliance operation are implemented. It is necessary to understand and master the key points of internal control, pay attention to everything in combination with the actual situation of their own work, discover and eliminate existing financial risks in time, ensure the safety of bank assets and maximize benefits through compliance and law-abiding.

2. Strengthen the construction of compliance culture and further enhance employees' awareness of compliance management according to law. It is necessary to organize employees of the whole bank to seriously study the Notice on Strengthening Operational Risk Prevention, Operational Risk Management Guidelines of Commercial Banks, Professional Ethics of Banking Employees and other series of documents, strengthen the training of rules and regulations such as post compliance manuals and various business operating procedures, and establish an internal control culture that conforms to the actual situation of the bank through study and training. Every employee should identify with the bank's internal control culture, infiltrate the internal control consciousness and culture into his own thoughts, become his own conscious behavior, deepen his understanding of compliance management, learn and understand rules and regulations, enhance his ability and consciousness of implementing the system, form all the working standards of compliance according to law, and build an indestructible moral Great Wall in his heart.

3. Seriously implement the case prevention system, eliminate risks and prevent cases. It is necessary to adhere to the system of case analysis meeting, and all staff should participate in the case analysis meeting to improve their awareness of eliminating risks and preventing cases. Conduct rotation communication with the heads of business institutions and employees in important positions. Regular inspection, evaluation and supervision of post exchange, compulsory leave and other management work. It is necessary to strengthen the supervision of grassroots leaders, employees in important positions "eight hours away" and their social circles, master abnormal behaviors, eliminate potential risks in time, and prevent cases from happening.

Six, earnestly implement the internal control rectification mechanism, strengthen the monitoring and analysis of internal control problems.

According to the spirit of the notice of "conducting comprehensive on-site inspection" issued by the Banking Regulatory Bureau, conduct a major inspection of operational risks, implement rectification measures, and avoid operational risks and regulatory risks. It is necessary to check issues such as deposits, counter operations, accounting settlement, credit business, bill acceptance and discount, bank cards, interest rate management, security and treasury management, and make timely rectification when problems are found to ensure that all rectification is in place. On the basis of self-examination and evaluation of functional management and business departments, conduct quarterly inspections to check the implementation of party style and clean government building, case prevention responsibility system and related systems, put forward rectification suggestions for problems found in inspections, urge and help them implement rectification, and strengthen internal control management. It is necessary to strengthen the monitoring and analysis of internal control problems, put forward rectification opinions and requirements, help urge rectification, and continuously improve the level of internal control management.

Seven, improve the internal control incentive and accountability mechanism, strengthen the case against high pressure.

It is necessary to improve the internal control incentive mechanism, further establish and improve the reward system for reporting violations, unblock reporting channels, set up e-mail boxes for reporting violations, and encourage employees to reflect violations and clues in a timely manner through various channels. It is necessary to do a good job in the verification of all kinds of reports in a timely manner, and timely check and thoroughly investigate the clues involving major violations of laws and regulations revealed by letters and visits from the masses. It is necessary to strengthen the accountability mechanism, and investigate and punish those responsible for violations of discipline found in various inspections. We should continue to strengthen the system of investigating the responsibility of cases. For cases not found in self-examination, it is necessary to strictly implement the provisions of double-line accountability and two-level pursuit of major cases, and severely deal with those directly responsible and responsible leaders. Cases or major accidents caused by leading cadres' inaction and chaos should be strictly accountable and dealt with seriously. It is necessary to strengthen the prevention of high-pressure cases, strictly implement the accountability system, and formulate iron discipline. No matter who abides by the rules and regulations, no privilege, no tolerance, no next time, if there is a problem, check it out and do a good job of internal control.