Summary of bank compliance education activities

Summary of compliance education activities in banks (6 general remarks)

After an activity, we absorbed a lot of new knowledge. What kind of summary will you have? So how do we write a summary of the activities? The following is a summary of the bank compliance education activities I organized for you, hoping to help you.

Summary of bank compliance education activities 1 comprehensive tellers are groups that directly face customers and are also the window of credit cooperatives. The daily work of tellers is very monotonous. In the face of all kinds of customers, tellers should be skilled in operation, enthusiastic in service, and let customers truly appreciate the sincerity of credit cooperatives with every bit of thoughtful service. Through this period of study, I asked myself to do the following:

First, study hard and master excellent business skills.

The pace of social development is accelerating, and the socialist cause is advancing by leaps and bounds. As an important social and industrial sector, banks can really play their due role only by following the pace of this progress. If bank employees are careless, conformist and do not feel the rapid progress of society, they will be eliminated by history. The banking industry that keeps pace with the times requires employees to follow up quickly, always keep the enterprising spirit and keep pace with social development.

At the center of modern economic development, banks and their employees should have learning requirements, learning spirit and learning ability, because we are in an era of knowledge innovation and lifelong learning, knowledge updating is dizzying, and financial products and services are changing with each passing day. Only by complying with the new requirements of the development of productive forces, taking "learning" as the core, giving lectures, practicing and increasing knowledge, and taking learning as an ideological realm, a spiritual pursuit and a way of life. Only by learning from work, learning from work, learning from life, learning from life, continuous learning, active learning, lifelong learning, applying what you have learned, enhancing your learning ability, and embarking on a healthy road of self-learning, self-transformation, self-transcendence, and self-development, can you acquire new knowledge, have new theories, broaden your horizons, broaden your new thinking, master new skills, increase new skills, and adapt to the new situation. Only by keeping up with the new era and creating new achievements can we avoid the embarrassment of "Jiang Lang's talent depletion", fundamentally eliminate the "skill panic", avoid the bad luck of being eliminated, and improve our ability to make contributions based on our own work and control the market economy.

At the same time, we should dare to deny ourselves, face ourselves squarely and admit our shortcomings. We should correct our own deviation, correct ourselves, develop ourselves, improve ourselves and do a good job of self-adjustment in denying ourselves. We should accept different opinions and criticisms from different angles, see gaps and find shortcomings in criticism, and then pursue Excellence, strive for self-improvement and never give up.

Second, maintain good professional ethics and abide by laws and regulations.

Morality is a person's soul and a golden beam to support personality. The personal quality that modern bank employees must possess should be moral consciousness. Tian Xingjian, a gentleman strives for self-improvement; The capacity of the earth is limited, so a gentleman must constantly cultivate his own virtue to undertake the world. This famous saying expresses the national spirit and ideological and moral standards of the Chinese nation, and it is also the ideological quality and moral sentiment that bank employees must have. Therefore, bank employees should take "virtue" as the key link, stress the rule of virtue, the body of Xiu De, and build moral spirit, and take high moral consciousness, strict moral introspection and unremitting moral persistence as the first priority in their communication with people. Modern enterprise management needs cooperative spirit, and bank employees need cooperative attitude. There is a division of labor and mutual restriction between majors and posts, but they are mutually conditional, interdependent and complementary. Coordination and cooperation in work and mutual linkage in operation make employees and enterprises truly become the same body of career, interests and destiny, and bring broader development space to banks. Being fair and upright, acting according to principles and procedures, putting "public interest" first, showing public interest, seeking public interest and being fair are also what bank employees should strive to do.

You can't travel thousands of miles without accumulating steps. You can't become a river without a small stream. For our front-line tellers, strictly observing the rules and regulations means that we should treat customers and strangers equally. Warm service and compliance in business. Keep in mind our rules and regulations, handle every business correctly, carefully examine every bill, and act according to the rules from beginning to end. Just like the above example, I should admit my "timidity" to that old customer and explain to him that my timidity is really responsible for customers and work. But I handled the business for my clients in violation of regulations. Although it was quick, I was a little careless, which would cause immeasurable losses to customers and credit cooperatives.

Our front desk is the key to the credit union. If there are no cases or accidents in our business operations, we must abide by the regulations. Only by observing these regulations can our credit cooperative cause develop steadily. Then, let's comply with the law from now on, from every summons, from the operation of every business, so as to comply with the law at all times, everything and everyone. Restrain yourself by being willing to violate the rules, having the ability to violate the rules, and not daring to violate the rules. Contribute to trust and cooperation.

Summary of bank compliance education activities Chapter II Compliance management is the inherent requirement of the steady operation of banks, the duty that every employee must perform, and a powerful weapon to safeguard their own vital interests. Through the study of internal control system carried out by the whole bank, we have a deeper understanding of compliance. As a new employee of CCB, I deeply understand the significance of compliance. Now talk about your own experience in this research:

I. Understanding of Compliance Management

1. Compliance management is the need for commercial banks to guard against operational risks. Compliance management is the need to standardize business practices, curb violations and prevent cases, comprehensively guard against risks and improve management level. It can create value for banks, and effective compliance management can eliminate compliance risks invisibly.

2. Compliance management is the need for commercial banks to improve their systems. The quality and benefit that banks rely on for survival come from operating in compliance with laws and regulations, from the quality and benefit of production, and from every employee in every position. The development of banks must be based on legal and compliant operations and prevent risks from the source.

3. Compliance management is an important guarantee for banks to achieve their development goals. Compliance management is to protect business and serve to better promote business development. In the process of development, business expansion and peer competition, only by adhering to the concept of compliance management and improving management quality can we ensure the durability of banking business.

Ii. requirements for strengthening compliance awareness in future work

1. Strengthening the awareness of compliance operation is not empty talk. Sometimes I always feel that some rules and regulations are binding the handling of business and restricting the development of business. Come to think of it, it's not really like this. The establishment of various rules and regulations is not a product of imagination, but a summary of many practical work experiences and lessons. Only by following various rules and regulations can we protect ourselves and our customers' rights and interests. Ideological education in place is to really create a good atmosphere of "abiding by discipline and law, pioneering and innovating" in every business link, so that we can consciously abide by laws, rules and standards in business management. Every employee should first strengthen the concept of doing things according to rules and regulations, rather than relying on "experience". Secondly, we should establish the belief that everyone is equal before the system, and no longer do what others say. Furthermore, it is everyone's responsibility to establish internal control, and the concept of starting from me is no longer irrelevant and hangs high.

2. Compliance operation is in place. Compliance is not a day's work, and violation may be a matter of thought. So the first thing is to manage yourself. Insist on handling every business according to the operation rules, and implement the habitual compliance operation in all business activities in job embeddedness, so as to make the habitual compliance action become habitual compliance operation. At work, I am good at asking questions about the handling of abnormal business in time, and I am responsible for the vigilance of my own authorized business. Adhering to the standard process and process system is the most effective way to solve compliance management problems and prevent capital risks. Practice has proved that replacing process system with human system often hides greater moral hazard, and the supervision and guarantee of process system can provide more powerful supervision and restriction for stable operation.

Through careful study of "Several Provisions on Prohibiting Employees from Working" and "Provisions on Prohibiting Counter Operation", the consciousness of obeying discipline and law has been enhanced, the enthusiasm of obeying discipline and law has been stimulated, and the self-discipline consciousness in work has been improved. In their daily work, employees should "pay attention to rectification, strengthen internal control and zero violation", and set strict demands on themselves spontaneously with the standards of "self-respect, self-examination, self-vigilance and self-motivation", abide by the law, be self-disciplined and conscientious, abide by professional ethics, strive to be law-abiding CCB personnel, and make contributions to the realization of the established goal of CCB's sustained and steady operation and rapid development.

Summary of bank compliance education activities since the discussion on compliance culture construction was launched, I have carefully studied relevant articles. I deeply realize that compliance culture education is an educational method with the financial characteristics of China Bank in a specific historical period, as well as the corresponding governance system and organizational form. It is also a value that China Bank believes in, learns from and puts into practice the governance experience of the Basel Committee on Banking Supervision. It embodies the values, management concepts, codes of conduct, common beliefs, creativity, cohesion and combat effectiveness of China Bank employees, and is a strong political and organizational guarantee to promote the reform and development of China Bank. Below, I will talk about my views on the harvest of this research:

First, strengthening compliance culture education is the need to improve corporate governance.

Carry out compliance culture education, strengthen learning, improve familiarity, and establish a good corporate image. I deeply realize that strengthening compliance culture education is the need to improve the level of corporate governance. Carrying out compliance culture education activities is of positive and far-reaching significance for standardizing business practices, curbing violations of law and discipline and preventing cases. On the one hand, it is necessary to unify the understanding of leaders at all levels on strengthening compliance culture education, and make them become advocates, planners and promoters of corporate compliance culture construction.

Today's society is a knowledge-based economy, with all kinds of new things constantly emerging, new businesses and new knowledge emerging one after another. The development of the situation requires us to constantly strengthen our study, comprehensively and systematically learn the knowledge of political theory, financial business, laws and regulations, constantly update our knowledge structure, and strive to improve our comprehensive quality to better meet the needs of the accelerated development of the whole bank's business. Seriously perform their duties, pay attention to strengthening the study of political theory, economy, finance, laws and regulations, constantly improve their comprehensive quality, enhance their ability to distinguish right from wrong, resist corruption and prevent change, and be firm and clear-headed in the face of big and big issues. At the same time, it is necessary to further correct the guiding ideology of operation, enhance the awareness of legal compliance and prudent operation, guide all business activities of the Bank on the right track, and promote the healthy and effective development of all businesses.

We should carry forward the pragmatic style in our system, form a business style of telling the truth, telling the truth, making practical moves, doing practical things, being pragmatic and effective, create a good business environment, improve the governance level, be strict in discipline, be strict in responsibility, pay close attention to implementation, strictly control all kinds of moral risks, business risks and governance risks, and maintain and enhance our image. On the one hand, it is necessary to improve the familiarity of all employees in strengthening compliance culture education. Employees are the main body of compliance culture construction, and also the practitioners and creators of compliance culture. Without the active participation of employees, it is impossible to establish a good compliance culture enterprise, let alone let employees abide by the law. We should concentrate our time and energy on the training and assessment of accounting personnel, and strive to make the business training comprehensive, systematic, professional, practical and upgrading, so as to make the overall quality of the staff and workers reach a higher level on the original basis. Through a series of activities, let all employees correctly grasp the real scientific connotation of compliance culture construction, consciously integrate into compliance culture construction, enhance the awareness of internal control governance, pay close attention to basic governance, and promote compliance management according to law.

Second, strengthening compliance culture education is the need to establish a long-term development mechanism.

The construction of compliance culture education is a huge systematic project, which cannot be accomplished overnight. To determine the development goals reasonably, we must have certain planning goals for a period of time and finally establish a mechanism to adapt to long-term development. From our point of view, it should include spiritual culture, values, goals, systems, environment, image, etiquette, signs and other contents, and form a cultural management concept with its own characteristics. First of all, we should take the form of going out and coming in. Through study, exchange and discussion, let all employees be familiar with how the Postal Savings Bank should develop, how employees should do their jobs well in their posts, what are the differences with other employees and how to improve them; What is your role in the big family of postal savings, how much effort you have made, and what constructive suggestions do you have for the reform and development of postal savings?

We should be familiar with it and talk about our personal outlook on life, world outlook and values, so as to establish our compliance culture and further improve the cohesion and combat effectiveness of ABC. Secondly, it is necessary to combine the special treatment of cases with the ongoing special work to control commercial bribery. It is necessary to make overall planning and reasonable arrangements, strengthen the analysis and research on business links prone to unfair trading behaviors and commercial bribery, highlight key points, carry out targeted special treatment, resolutely correct unfair behaviors that violate business ethics and market rules and affect fair competition in business activities, and investigate and deal with commercial bribery cases according to law. It is necessary to carry out educational activities, encourage employees to report people and things that violate the law and discipline, provide case clues, promote the in-depth development of special cases, and enhance the corporate compliance culture.

Finally, according to the actual work, we will earnestly carry out standardized services, and conduct special research on some details and difficult issues according to the rules and regulations of the Head Office. In view of the current business operation and counter service, we should conscientiously sum up and subdivide customer groups and business needs, integrate limited resources, brainstorm and innovate service methods to meet customer needs to the maximum extent and enhance the essence of corporate compliance culture.

Summary of bank compliance education activities 4 Recently, the superior launched a special education and learning activity of "Starting from me and operating in compliance". In the learning activities, I have a deeper understanding of professional ethics, compliance management awareness, supervision and prevention awareness according to the opinions issued by the higher authorities and the actual situation in my usual work. Now I have summed up some experiences from this learning activity, which is also my rational understanding of this educational learning activity.

First, dedication and selfless dedication.

Dedication in the ordinary, love and dedication are the most common dedication spirit in all walks of life. Seemingly ordinary, but actually great. From a big perspective, a career and a job are the basic guarantee for a person's survival and development. From a small perspective, such as our Agricultural Bank, everyone's work is the guarantee of personal survival and development, and it is also necessary for the existence and development of Agricultural Bank. Without the selfless dedication of every comrade, it is impossible for ABC to develop and remain invincible in this highly competitive financial industry. As a CCB member, being a dedicated person for the future and honor of ABC is the most cited code of conduct for us to standardize the quality of behavior and evaluate good and evil.

As a financial unit, employees should pay more attention to morality and conduct in their careers. If they go the wrong way, they will make mistakes and get lost. Without virtue, it is difficult to serve the people, let alone one's own career, and there will be no prosperity of institutions, no development of personal career, and no social value of personal existence. I am now working in the Agricultural Bank of China, which is my occupation and my only occupation. I have been engaged in this profession since I started to work, and I have always loved it. I have a strong interest and deep feelings for the work of Agricultural Bank of China, so I have always been very dedicated. Only my love and dedication is the concrete embodiment of my spirit of serving the people.

Speak professional ethics, but also be honest and trustworthy. The so-called honesty is loyalty and honesty. The so-called trustworthiness means keeping promises, stressing credibility, valuing credibility and fulfilling obligations. Therefore, through this study, I have a deeper understanding of the fundamentals, manners, words and deeds, and responsibilities of an ABC employee, that is, to constantly strengthen study at work, always demand myself according to professional norms, and work hard to make myself invincible.

The second is to strengthen business knowledge learning and raise awareness of compliance management.

"How can there be a square without rules?" As front-line staff of outlets, it is the most realistic task for our counter staff to effectively improve their professional quality and risk prevention ability and comprehensively strengthen counter marketing and counter service. As a counter clerk, I know the importance of counter work, because it is a window for customers to directly understand our bank and plays a bridge role between customers and banks. Therefore, in the counter work, I have always insisted on being a "willing heart". Learn business with an open mind, exercise skills with heart, handle business patiently, and treat customers warmly. In the increasingly fierce competition in the banking industry, we all clearly realize that only more patient, thoughtful and fast quality service can win more customers and better social image for our banks. We are faced with all kinds of customers and things at different levels every day, which requires our front-line employees to have a high degree of ideological awareness.

Strengthening the awareness of compliance operation is not an empty talk. Sometimes I always feel that some rules and regulations are binding our business and restricting our business development. Come to think of it, it's not really like this. The establishment of various rules and regulations is not a product of imagination, but a summary of many practical work experiences and lessons. Only by following various rules and regulations can we protect our own rights and interests and safeguard the rights and interests of our customers. Our rules and regulations are like a huge machine, and each system is a part of the machine. If you don't operate and maintain according to the procedure, even if a gong wire nail is missing, it will cause immeasurable losses. The maintenance and implementation of each system need to be strictly implemented by our employees.

Third, strengthen the implementation of rules and regulations and the awareness of supervision and prevention.

Banks are known as "three railways:" iron system, iron abacus and iron account book ". It is precisely because of the "three railways" of banks that banks can gain trust in the hearts of the people. Whether the rules and regulations are implemented or not depends on the clear understanding and proficiency of the employees. It is a taboo for all industries to follow the rules and avoid them. As for the implementation of rules and regulations, as far as front-line tellers are concerned, they should start from me, correctly handle each business, carefully review each account, supervise the legal compliance of authorized business, strictly implement the safety precautions of business operating system and resist all kinds of illegal operations. Stick to the rules from beginning to end. Only in this way can our system be implemented and our capital security be guaranteed. No matter how good the system is, if it is not implemented well, it will go to the opposite side.

Summary of bank compliance education activities Chapter V In order to further enhance employees' awareness of legal compliance, risk prevention and self-protection, xx Branch of Industrial and Commercial Bank of China has launched a warning education activity of "learning cases, correcting violations and grasping rectification" among employees of the whole bank since February 20th.

First, take the case as a mirror to grasp learning and education.

Organize to watch. Take branches and departments as units, organize managers, party member cadres and key personnel to watch warning education films and visit warning education bases, and focus on activities covering all employees. Organize employees to talk about their feelings after watching, focusing on discussion.

Study the case well. Xx Branch of Industrial and Commercial Bank of China conducts warning education for all employees in combination with alarm bells ringing and new cases compiled by the industry, and strengthens employees' learning education through key clauses explanation, centralized education, employees' self-awareness, case analysis and risk investigation education, advocating employees to learn from learning cases, improving internal management, strictly implementing the system and strengthening risk prevention and control.

Learning system. Take branches and departments as units, organize employees to learn rules and regulations and risk cases through centralized study, special training, special discussion, special explanation, personal self-study and on-site lectures by the supervision office, internal control and compliance department and human resources department, so as to deepen their understanding and grasp of rules and regulations. Focus on the Head Office's case prevention responsibility system management measures, employee behavior prohibition regulations, employee violation handling regulations, account manager's risk prevention and control management implementation measures, branch president's post risk prevention and control measures and issued risk event notifications.

Conduct a clean government talk. Xx Branch of Industrial and Commercial Bank of China reiterated the disciplinary requirements, pointed out the existing problems and unhealthy tendencies, put forward rectification opinions, further improved the ideals and beliefs of managers, made clear the rules of clean government and made it clean.

Second, learn and change, and apply what you have learned.

The first is to check and correct. According to the problems in internal management, system learning, supervision and inspection exposed by the case, xx Branch of Industrial and Commercial Bank of China made inferences from others, carefully searched and thoroughly rectified the related problems existing in units and individuals. When learning a case, let employees know the basic situation of the case, the means of committing crimes, the causes of the case and the handling of personnel, guide employees to deeply analyze the problems, find out the causes and reveal the risks, so as to effectively learn from the case, improve internal management, strictly implement the system and strengthen risk prevention and control. The second is to visit customers, talk with employees, solicit suggestions from account managers and key personnel on professional ethics and business operations, and do a good job in problem rectification.

The third is inspection and guidance, and do a good job in rectifying the risk points in key areas and key links such as small business credit, personal housing and operating loans, credit card installment payment, private financing and guarantee, asset risk management and control, and centralized procurement. The fourth is to analyze and rectify. In view of the existing problems, we should insist on inspection and evaluation while implementing rectification. Problems found in self-examination and organizational inspection should be corrected in time to prevent going through the motions and put forward suggestions for improvement and perfection.

Third, establish rules and regulations to eliminate hidden dangers.

Learning and education, finding hidden dangers, establishing rules and regulations, and rectification run through the activities. After the activity, members of the leading group of the "Five One Work Methods" of the sub-bureau inspected, evaluated and summarized the development of warning education activities in the whole area, so as to promote the normalization and long-term effectiveness of educational activities. The inspection and supervision personnel in charge of all banks take the initiative to play the role of organization and coordination, and supervise, inspect and report educational activities in a timely manner.

Summary of Banking Compliance Education Activities 6 In accordance with the requirements of the Notice of the Disciplinary Committee of the Municipal Branch on Centralized Warning Education Activities, the bank took the opportunity of organizing all staff to watch the series of case prevention warning education films of the Head Office, and conducted self-examination and investigation according to the actual regulations, further educating the employees of the whole bank to abide by rules and regulations, operate in compliance, build a strong ideological and moral defense line, and further enhance the awareness of compliance management and self-discipline of cadres and employees. These activities are reported as follows:

First, do a good job in mobilization and deployment.

According to the spirit of the notice from the Disciplinary Committee of the Municipal Branch, the Bank regards this warning education activity as an important starting point for strengthening the professional ethics education of employees, preventing job-related crimes and promoting internal control management. At the case prevention analysis meeting in June 5438+065438+ 10, the President mobilized to carry out warning education activities, further unified his thinking, recognized the situation clearly, and asked the whole bank to fully understand the importance and urgency of carrying out warning education activities, and took the warning education activities as an opportunity to strengthen the construction of internal control system and improve execution. The sub-branch made it clear that this warning education activity was led by the office, with the participation of the whole bank and promoted at different levels. A warning education activity plan was formulated, and managers, marketers, employees in important positions and other employees were organized to watch and discuss it for 8 times. Members of the leadership team of the branch took the lead in watching the warning education film and participating in the discussion. By February 29th, 65438, employees of the whole bank watched warning education films, and the coverage rate of warning education activities reached 100%.

Second, do a good job in study and discussion.

Our bank pays attention to strengthening study and discussion in educational activities and deepening employees' ideological understanding. First, focus on typical cases, carefully analyze the means of committing crimes, the causes of crimes, the main points of prevention and the problems existing in internal control management, deeply understand the harm of cases to collectives and individuals, and further improve the professional quality and professionalism of all staff. The second is to deepen the study of internal control case prevention system and case prevention management regulations around the basic system, so that all employees can be truly educated and truly improve their consciousness of resisting corruption, preventing degeneration and practicing incorruptibly.

Third, do a good job of cross-checking.

In the warning education activities, the bank insisted on the combination of teaching and investigation, paid attention to practical results, carefully found the weak links in the work, and made timely rectification. In view of the problems exposed in the case, the employees of the whole bank, especially the management and marketing personnel, are required to contact with the actual work, check the implementation of various systems, find out the root causes and reasons of the problems through self-examination, and formulate practical rectification measures.

First, firmly establish a correct outlook on life, values and power, consciously improve the awareness of law-abiding, earnestly abide by rules and regulations, conscientiously perform professional ethics, and cherish the profession.

Second, according to the internal control case prevention system and the main responsibilities, tasks and requirements of the internal control case prevention, investigate the problems existing in the internal control case prevention work and seriously rectify them.

Third, re-study the system regulations closely related to employees' interests, such as the Notice on Strengthening the Reporting of Banking Emergencies, the Provisions on Handling Case Clues, and the Incentive Measures for Employees to Resist Reporting Major Illegal Cases and Case Interception (Trial), so as to further strengthen grassroots employees' awareness of case prevention and self-protection.

Through this warning education activity, employees' awareness of obeying rules and regulations and operating in compliance has been further enhanced, and their ideological and moral defense lines have been further consolidated, which will surely provide a solid guarantee for the sound and rapid development of the whole bank's business.

;