企業(yè)員工合規(guī)管理培訓(xùn)3

企業(yè)合規(guī)管理compliancemanagementtrainingfornewbankemployeesmanagementtrainingfornewbankemployees宣講人:某某某時(shí)間:二XX.XX企業(yè)員工合規(guī)管理培訓(xùn)ADMINISTRATION目錄CONTENT一、合規(guī)管理基礎(chǔ)知識(shí)二、合規(guī)管理工作實(shí)踐三、合規(guī)行為從我做起PART一合規(guī)管理基礎(chǔ)知識(shí)第一部分compliancemanagementtrainingfornewbankemployeesmanagementtrainingfornewbankemployees憲法-全國(guó)人大,基本法律-全國(guó)人大其他法律-全國(guó)人大及七常委會(huì)行政法規(guī)-國(guó)務(wù)院地方性法規(guī)-地方人大及其常委會(huì)部門(mén)規(guī)章-國(guó)務(wù)院各部.中國(guó)人民銀行地方政府規(guī)章省/自治區(qū)人民政府其他規(guī)范性文件-有權(quán)機(jī)關(guān)制定辦法外規(guī)合規(guī)管理基本政策合規(guī)管理具體制度法律合規(guī)指引操作與合規(guī)手冊(cè)符規(guī)措施合規(guī)績(jī)效考核制度合規(guī)問(wèn)責(zé)制度誠(chéng)信舉報(bào)制度合規(guī)教育和培訓(xùn)制度合規(guī)預(yù)警制度反洗錢(qián)管理制度合規(guī)報(bào)告制度合規(guī)制度體系內(nèi)規(guī)是指使商業(yè)銀行經(jīng)營(yíng)活動(dòng)與相關(guān)法律、行政法規(guī)部門(mén)規(guī)章及其他規(guī)范性文件、經(jīng)營(yíng)規(guī)則、自律性組織行業(yè)準(zhǔn)則行為守則和職業(yè)操守相一致,合規(guī)管理是商業(yè)銀行一項(xiàng)核心風(fēng)險(xiǎn)管理活動(dòng)總行、分行設(shè)立內(nèi)控合規(guī)管理委員會(huì)和反洗錢(qián)領(lǐng)導(dǎo)工作小組合規(guī)、案件防控、操作風(fēng)險(xiǎn)管理以及反洗錢(qián)事務(wù)統(tǒng)一管理分行內(nèi)控合規(guī)管理委員會(huì)每季召開(kāi)例會(huì)反洗錢(qián)領(lǐng)導(dǎo)工作小組每季度召開(kāi)例會(huì)合規(guī)失敗成功重要性吞并危機(jī)合規(guī)美國(guó)次貸危機(jī)印發(fā)金融風(fēng)暴,貝爾斯登破產(chǎn)雷曼兄弟倒閉美林證券被吞并AIG被國(guó)有化因九七年金融危機(jī)倒閉對(duì)一個(gè)企業(yè)而言有三點(diǎn)最重要完善法人治理結(jié)構(gòu)合規(guī)經(jīng)營(yíng)理念嚴(yán)密風(fēng)險(xiǎn)控制體系忠誠(chéng)度減弱,或服務(wù)態(tài)度變差減少和我們做生意意愿一二三四更苛刻條件,質(zhì)量變差,股價(jià)降低忠誠(chéng)度減弱,或服務(wù)態(tài)度變差減少和我們做生意意愿懲罰,限制業(yè)務(wù)開(kāi)展更少投資,更高利息PART二合規(guī)管理工作實(shí)踐第二部分compliancemanagementtrainingfornewbankemployeesmanagementtrainingfornewbankemployees總行、分行設(shè)立內(nèi)控合規(guī)管理委員會(huì)和反洗錢(qián)領(lǐng)導(dǎo)工作小組,負(fù)責(zé)全行內(nèi)控、合規(guī)、案件防控、操作風(fēng)險(xiǎn)管理以及反洗錢(qián)事務(wù)統(tǒng)一管理、組織、協(xié)調(diào)工作.分行內(nèi)控合規(guī)管理委員會(huì)每季召開(kāi)例會(huì)反洗錢(qián)領(lǐng)導(dǎo)工作小組每季度召開(kāi)例會(huì)也可根據(jù)需要隨時(shí)召集操作風(fēng)險(xiǎn)管理以及反洗錢(qián)事務(wù)統(tǒng)一管理一二三四合規(guī)管理內(nèi)控監(jiān)測(cè)案件防控操作風(fēng)險(xiǎn)管理非訴訟法律事務(wù)管理反洗錢(qián)報(bào)送和管理中介機(jī)構(gòu)管理監(jiān)管溝通總行法律合規(guī)部職責(zé),法律專(zhuān)項(xiàng)費(fèi)用審批和管理對(duì)全行各條線內(nèi)控工作進(jìn)行規(guī)劃與組織內(nèi)控組織者監(jiān)測(cè)等手段對(duì)業(yè)務(wù)經(jīng)營(yíng)合法合規(guī)性進(jìn)行監(jiān)督監(jiān)督者提供監(jiān)管動(dòng)態(tài),監(jiān)管信息等信息提供者提供法律合規(guī)咨詢與審查服務(wù),滿足業(yè)務(wù)需要咨詢者對(duì)沒(méi)有明確法律規(guī)定業(yè)務(wù)經(jīng)營(yíng)問(wèn)題顧問(wèn)法律合規(guī)部門(mén)提出合法合規(guī)趨向性判斷趨向性常規(guī)報(bào)告專(zhuān)項(xiàng)報(bào)告報(bào)告期合規(guī)風(fēng)險(xiǎn)狀況變化情況、已經(jīng)識(shí)別違規(guī)事件和合規(guī)缺陷已經(jīng)采取或者建議采取糾正措施等等.該報(bào)告應(yīng)當(dāng)采取雙線報(bào)告制即按季度直接向總行法律合規(guī)部報(bào)告同時(shí),向所在分（支）行行長(zhǎng)和主管行長(zhǎng)報(bào)告各分（支）行合規(guī)管理部門(mén)應(yīng)當(dāng)立即通過(guò)電話或其他方式迅速向總行合規(guī)管理部門(mén)及本行主管領(lǐng)導(dǎo)報(bào)告PART三合規(guī)行為從我做起第三部分compliancemanagementtrainingfornewbankemployeesmanagementtrainingfornewbankemployees一二三員工（直接義務(wù)人）各前后臺(tái)業(yè)務(wù)部門(mén)（直接義務(wù)人）管理層（最終義務(wù)人及合規(guī)文化建設(shè)重要參與者）監(jiān)測(cè)、量化合規(guī)風(fēng)險(xiǎn)向合規(guī)部門(mén)及時(shí)地反饋潛在合規(guī)性風(fēng)險(xiǎn)報(bào)送合規(guī)預(yù)警信號(hào)協(xié)助合規(guī)部門(mén)評(píng)估合規(guī)風(fēng)險(xiǎn)并對(duì)已經(jīng)存在合規(guī)風(fēng)險(xiǎn)進(jìn)行整改對(duì)所轄員工進(jìn)行合規(guī)性培訓(xùn)和教育一二三四銀行員工合規(guī)風(fēng)險(xiǎn)職能部門(mén)合規(guī)管理銀行每一個(gè)部門(mén)、每一名員工在日常工作中都應(yīng)當(dāng)積極收集銀行合規(guī)風(fēng)險(xiǎn)點(diǎn)并及時(shí)將合規(guī)風(fēng)險(xiǎn)點(diǎn)反饋到合規(guī)管理部門(mén).在收集合規(guī)風(fēng)險(xiǎn)點(diǎn)時(shí),應(yīng)該重點(diǎn)關(guān)注我行或其他銀行曾經(jīng)發(fā)生過(guò)合規(guī)事故或案件業(yè)務(wù)條線和職能部門(mén)已經(jīng)發(fā)現(xiàn)合規(guī)風(fēng)險(xiǎn)隱患合規(guī)管理部門(mén)在合規(guī)風(fēng)險(xiǎn)識(shí)別、評(píng)估、監(jiān)測(cè)、測(cè)試和咨詢?nèi)粘９ぷ髦懈鞑块T(mén)均有責(zé)任及時(shí)發(fā)現(xiàn)并報(bào)告合規(guī)風(fēng)險(xiǎn)預(yù)警信號(hào)各分行合規(guī)風(fēng)險(xiǎn)管理委員會(huì)負(fù)責(zé)合規(guī)風(fēng)險(xiǎn)預(yù)警工作委員會(huì)根據(jù)預(yù)警信號(hào)影響范圍和可能對(duì)我行造成損害分別采取不同應(yīng)對(duì)措施.預(yù)警信號(hào)相關(guān)部門(mén)應(yīng)根據(jù)委員會(huì)要求積極采取應(yīng)對(duì)措施消除有關(guān)預(yù)警信號(hào)有效防范合規(guī)風(fēng)險(xiǎn)建立合規(guī)風(fēng)險(xiǎn)管理約束機(jī)制后該理論認(rèn)為,如果有人打壞了一幢建筑物窗戶玻璃,而這扇窗戶又得不到及時(shí)維修,別人就可能受到某些示范性縱容去打爛更多窗戶.即建立合規(guī)風(fēng)險(xiǎn)管理約束機(jī)制后,如果有人違反這種約束機(jī)制,必須要受到嚴(yán)厲懲罰,這就像用手觸碰滾燙火爐,會(huì)燙得立即將手縮回一樣.做好合規(guī)管理關(guān)鍵在于執(zhí)行企業(yè)合規(guī)管理compliancemanagementtrainingfornewbankemployeesmanagementtrainingfornewbankemployees演示完畢感謝您觀看企業(yè)員工合規(guī)管理培訓(xùn)ADMINISTRATION企業(yè)員工培訓(xùn)PPT模板大型企業(yè)商務(wù)型公司NextSlide目錄quisnostrudexercitationullamcorpersuscipitlobortisnisl工作崗位分析技術(shù)quisnostrudexercitationullamcorpersuscipitlobortisnisl職業(yè)生涯設(shè)計(jì)quisnostrudexercitationullamcorpersuscipitlobortisnisl辦公室公務(wù)交往禮儀quisnostrudexercitationullamcorpersuscipitlobortisnisl高效溝通技巧Utwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.“Utwisienimadminimveniam辦公室公務(wù)交往禮儀插畫(huà)辦公必備技藝Loremipsumdolorsitamet,consectetueradipiscingelit,seddiamBestRatingLoremipsumdolorsitamet,consectetueradipiscingelit,sedHighQualityUtwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.“Utwisienimadminimveniam辦公室公務(wù)交往禮儀FashionStylish辦公室公務(wù)交往禮儀LearnMoreUtwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscing辦公室公務(wù)交往禮儀Utwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislut“UtwisienimadminimveniamNewestspecialfeaturetwoLearnMoreLearnMoreUtwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutUtwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutNewestfeatureone“UtwisienimadNewestfeaturethree“Utwisienimad高效溝通技巧Utwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscingLearnMore高效溝通技巧LearnMoreUtwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscing高效溝通技巧Utwisienimadminimveniam,quisnostrudexercitationullamcorpernibheuismodtinciduntutlaoreetdoloremagnaaliquamYourTextGoesHere“Utwisienimadminimveniam,

quisnostrudexercitationullamcorper一五+ThisisgreattextLearnMoreUtwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscing高效溝通技巧高效溝通技巧LearnMoreUtwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscingUtwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.“Utwisienimadminimveniam高效溝通技巧Utwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.“Utwisienimadminimveniam高效溝通技巧LearnMore二一七arouse.AllRightsReserved高效溝通技巧Utwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscing“UtwisienimadminimveniamUtwisienimadminimveniamadminimveniamTherearemanyvariationsofpassagesUtwisienimadminimveniamadminimveniamTherearemanyvariationsofpassagesUtwisienimadminimveniamadminimveniamTherearemanyvariationsofpassagesPurchasePurchasePurchaseBasic二九,九九Pro五九,九九Premium七九,九九一五%二五%二八%工作崗位分析技術(shù)Utwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscing一二五DateThreeLoremipsumdolorsitametputanythinghere二一DateThreeLoremipsumdolorsitametputanythinghere三一DateThreeLoremipsumdolorsitametputanythinghereOptionTwoLoremipsumdolorsitametputanythinghereOptionThreeLoremipsumdolorsitametputanythinghereOptionOneLoremipsumdolorsitametputanythinghere工作崗位分析技術(shù)Utwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscing八%Utwisienimadminimveniam,quisnostrudexercitationullamcorper七四%Utwisienimadminimveniam,quisnostrudexercitationullamcorper三五%Utwisienimadminimveniam,quisnostrudexercitationullamcorper六五%Utwisienimadminimveniam,quisnostrudexercitationullamcorper工作崗位分析技術(shù)Utwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscingYourTextGoesHereYourTextGoesHereOptionOneLoremipsumdolorsitametputanythingherepleasebeitOptionTwoLoremipsumdolorsitametputanythingherepleasebeitOptionThreeLoremipsumdolorsitametputanythingherepleasebeitProcessInfographicquisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.YourtitleUtwisienimadminimveniam,quisnostrudexercitationullamcorpernibheuismodtinciduntutlaoreetdoloremagnaaliquameratvolutpat.工作崗位分析技術(shù)Utwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscing一二三四五六OptionTwoLoremipsumdolorsitametputanythinghereOptionFiveLoremipsumdolorsitametputanythinghereOptionFourLoremipsumdolorsitametputanythinghereOptionThreeLoremipsumdolorsitametputanythinghereOptionOneLoremipsumdolorsitametputanythinghereOptionSixLoremipsumdolorsitametputanythinghere工作崗位分析技術(shù)Utwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscingOptionOneLoremipsumdolorsitametputanythingherepleasebeitOptionTwoLoremipsumdolorsitametputanythingherepleasebeitOptionThreeLoremipsumdolorsitametputanythingherepleasebeitOptionFiveLoremipsumdolorsitametputanythingherepleasebeitOptionFourLoremipsumdolorsitametputanythinghereUtwisienimadminimveniam,quisnostrudexercitation工作崗位分析技術(shù)ProcessInfographicquisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.YourtitleUtwisienimadminimveniam,quisnostrudexercitationullamcorpernibheuismodtinciduntutlaoreetdoloremagnaaliquameratvolutpat.四%Process一Utwisienimadminimveniam,quisnostrudexercitationullamcorpernibheuismodtinciduntutlaoreetdoloremagnaaliquameratvolutpat.工作崗位分析技術(shù)Utwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscing一二三五四職業(yè)生涯設(shè)計(jì)Utwisienimadminimveniam,quisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexeacommodoconsequat.Loremipsumdolorsitamet,consectetueradipiscingOptionOneLoremipsumdolorsitametputOptionTwoLoremipsumdolorsitametputOptionThreeLoremipsumdolorsitametputOptionFiveLoremipsumdolorsitametputOptionFourLoremipsumdolorsitametputCreativeContentquisnostrudexercitationullamcorpersuscipitlobortisnislutaliquipexe