Summary of bank compliance education activities (general 6 articles)
After experiencing a certain activity, we absorbed a lot of new knowledge from it, what kind of summary will you have? Woolen cloth? So how should we write an activity summary? The following is a summary of bank compliance education activities that I have compiled for you. I hope it can help you.
Summary of Bank Compliance Education Activities 1
Comprehensive tellers are a group that directly faces customers, and they are also the window for credit union services. The daily work of tellers is monotonous and face-to-face. For all kinds of customers, tellers must be skilled in operations and serve enthusiastically. Day after day, they must provide every detail of thoughtful service so that customers can truly appreciate the sincerity of the credit union. Through this period of study, I ask myself to do the following:
1. Study hard and master excellent business skills
The pace of social development is accelerating day by day, and the cause of socialism As an important social industry sector, banks are advancing by leaps and bounds. Only by conforming to the rhythm of this progress can banks truly play their due role. If bank employees are inattentive, stick to the past, stick to the old routine, and cannot feel the rapid progress of society, they are bound to be eliminated by history. The banking industry that keeps pace with the times requires employees to follow up quickly, always maintain an enterprising spirit, and achieve synchronization with social development.
Banks and their employees in the center of modern economic development should have more learning requirements, learning spirit, and learning ability, because we are in an era of knowledge innovation and lifelong learning, where knowledge updates are dizzying, and finance Products and financial 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, teaching style, drilling knowledge, increasing knowledge, and treating learning as an ideological realm, a spiritual pursuit, and a way of life can we achieve Work-based learning, study-based work, life-based learning, study-based life, continuous learning, active learning, lifelong learning, apply what you learn, enhance learning ability, and embark on a healthy path of self-learning, self-change, self-transcendence, and self-development. Only by following the road can we acquire new knowledge, possess new theories, expand new horizons, broaden new thinking, master new skills, grow new abilities, adapt to new situations, meet new tasks, meet new requirements, solve new problems, achieve new breakthroughs, and keep up with the new trends. In this era, only by creating new achievements can we avoid the embarrassment of "exhausting talents", fundamentally eliminate "skill panic", avoid the bad luck of being eliminated, and improve our ability to make contributions and control the market economy based on our own duties.
At the same time, we must dare to deny ourselves, face ourselves squarely, admit our own shortcomings, correct deviations, amend ourselves, develop ourselves, improve ourselves, and do a good job of self-regulation in denying ourselves. We must accept different opinions and criticism from different angles. We must see gaps and shortcomings in criticism, and then pursue excellence, strive for self-improvement, and never give up.
2. Maintain good professional ethics and abide by laws and regulations
Morality is a person’s soul and the pillar that supports personality. The personal quality that modern bank employees must possess should be moral consciousness . If the sky is healthy, a gentleman will strive to strengthen himself; if the terrain is weak, a gentleman will be virtuous. This phrase expresses the national spirit and ideological and moral principles of the Chinese nation, and is also the ideological quality and moral sentiment that bank employees must possess. Therefore, bank employees should take "morality" as the key link, emphasize moral governance, cultivate moral bodies, and build moral souls, and regard a high degree of moral consciousness, strict moral introspection, and unremitting moral persistence as the first priority in dealing with people. Modern business operations require a spirit of cooperation, and bank employees need a collaborative attitude. There is a division of labor between majors and positions, and they restrict each other, but they are also mutually conditioned, interdependent, and complementary to each other. Coordination and cooperation at work and mutual linkage in operations will make employees and the company truly one in the cause, the same in the interests, and the same in destiny, which will bring broader development space to the bank. Being fair and upright, acting in accordance with principles, operating according to procedures, putting "public service" first, being public-minded, seeking public interests and impartiality are what bank employees should strive to achieve.
If you don’t accumulate small steps, you won’t reach a thousand miles. Without accumulation of small streams, a river cannot be formed. For our front-line tellers, our strict compliance with rules and regulations means that we should not distinguish between familiar customers and unfamiliar faces, and they should be treated equally in our eyes. Warm service and business compliance. Keep our rules and regulations in mind, handle every business correctly, review every bill carefully, and act in accordance with the rules from beginning to end.
Just like the above example, I should admit my "timidity" to the old customer and explain to him that my timidity is the only way I am truly responsible for the customer and my own work. And I handled the business for the customer in violation of regulations. Although it was very fast, if I was not careful, it would cause immeasurable losses to the customer and the credit union.
Our front desk is the key to the credit union. If our business operations do not cause cases or accidents, we must comply with regulations. Only if we are compliant can our Xinhe business develop steadily. So, let us start from now, start with every subpoena, and start with the operation of every business. We must be compliant at all times, in everything, and in everyone. Constrain yourself by being willing to break rules, being able to break rules, and not daring to break rules. Contribute your strength to Xinhe affairs. Summary of Bank Compliance Education Activities Part 2
Compliance management is an inherent requirement for the stable operation of a bank. It is a responsibility that every employee must perform. It is also a powerful weapon to protect our own vital interests. Through the study of the internal control system carried out throughout the bank, I have a deeper understanding of compliance. As a new employee of CCB, I deeply understand the significance of compliance. Now let me talk about my experience during this study:
1. Understanding of compliance management
1. Compliance management is the need to prevent operational risks of commercial banks. Compliance management is the need to standardize operating behaviors, curb violations of regulations and disciplines, prevent cases, comprehensively prevent risks, and improve operation and management levels. It can create value for banks, and effective compliance management can eliminate compliance risks invisible.
2. Compliance management is the need to improve the institutional system of commercial banks. The quality and efficiency that banks rely on for their survival come from operating in accordance with laws and regulations, from every link that produces quality and efficiency, and from every employee in every position. The development of banks must be based on legal and compliant operations in order to prevent risks from the source.
3. Compliance operations are an important guarantee for banks to achieve their development goals. Compliance management is to protect the business and serve to better promote business development. In the process of development, business expansion and peer competition, only by closely following the concept of compliance management and improving the quality of management can the longevity of banking business be ensured.
2. Requirements for strengthening compliance awareness in future work
1. Strengthening compliance operation awareness is not an empty talk. Sometimes, I always feel that some rules and regulations are restricting business management and restricting business development. If you think about it carefully, this is not the case. The establishment of various rules and regulations is not the product of imagination, but the summation of many practical work experiences and lessons. Only by acting in accordance with various rules and regulations can we protect ourselves. and the rights and interests of our customers. Ideological education must be in place to truly create a good atmosphere of "lawful compliance, pioneering and innovation" in every business operation link, so that we can consciously follow laws, rules and standards when carrying out business management work. Every employee must first strengthen the concept of acting in accordance with rules and regulations, and no longer operate based on "experience". Secondly, we must establish the belief that everyone is equal before the system and no longer just follow orders. Furthermore, it is necessary to establish the idea that everyone is responsible for internal control and it starts with me. It is no longer a matter of having nothing to do with oneself and hanging on high.
2. Compliance operations are in place. Compliance is not something that can be accomplished in a day, but violation can be a matter of a single thought. So first, take care of yourself. Insist on handling every business in accordance with operating procedures, embed habitual compliance operations into various business activities, and make habitual compliance actions become habitual compliance operations. At work, he is good at raising questions about abnormal business processing in a timely manner, and is vigilantly responsible for the review and authorization business he handles and pursues inquiries to the end. Adhere to standardized processes. The process system is the most effective way to solve compliance operations and prevent financial risks. Practice has proved that replacing the process system with human systems often hides greater hidden dangers of moral risks. The supervision and guarantee of the process system can provide strong support for stable operations. Strong supervision and restraint.
By conscientiously studying the "Several Prohibitions on Employees' Employment" and the "Prohibitions on Counter Business Operations", I have enhanced my awareness of abiding by laws and regulations, stimulated my enthusiasm for abiding by laws and regulations, and improved my work ability. A sense of self-discipline.
Our employees must "focus on rectification, strengthen internal control, and zero violations" in their daily work, and consciously and strictly demand themselves according to the standards of "self-respect, self-examination, self-policing, and self-motivation", and must abide by laws and regulations, be strict with themselves, and perform their duties. , abide by professional ethics, strive to be a CCB employee who abides by regulations and disciplines, and contribute to the realization of CCB’s established goals of sustained, steady operation and rapid development. Summary of Bank Compliance Education Activities Chapter 3
Since the launch of the compliance culture construction discussion activity, I have carefully studied the relevant articles. I have a deep understanding that compliance culture education activities are in a specific historical period. Forming an education method with the financial characteristics of the Bank of China and a corresponding governance system and organizational form are the values ??that the Bank of China believes in and learns from the governance experience and methods of the Basel Committee on Banking Supervision and puts them into practice. It embodies the values ????of the employees of the Bank of China. The value principles, business concepts, behavioral norms, common beliefs and creativity, cohesion and combat effectiveness are the strong political and organizational guarantees for promoting the reform and development of Bank of China. Now, let me share some of my insights on what I have learned from this study:
1. Strengthening compliance culture education is a need to improve the level of business governance.
Carry out compliance cultural education to 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 business governance. Carrying out compliance cultural education activities has positive and far-reaching significance for standardizing operating 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 in strengthening compliance culture education and make them the advocates, planners and promoters of corporate compliance culture construction.
Today’s society is a knowledge-based economy, with all kinds of new things emerging, new businesses, and new knowledge emerging one after another. The development of the situation requires us to continuously strengthen our study, comprehensively and systematically study political theory, financial business, laws and regulations and other aspects of knowledge, constantly update the knowledge structure, strive to improve the overall quality, and better adapt to the needs of the accelerated development of the entire bank's business. To conscientiously perform their job responsibilities, they must focus on strengthening the study of political theory, economics and finance, laws and regulations and other aspects of knowledge, constantly improve their overall quality, enhance their ability to argue clearly and resist corruption and change, and stand firm in the face of major issues. , clear mind. At the same time, it is necessary to further correct the guiding ideology of operations, enhance the awareness of prudent operation in accordance with laws and regulations, guide the bank's various operating activities on the right track, and promote the healthy and effective development of various businesses.
We must develop a truth-seeking and pragmatic style within our system, form a business style that tells the truth, reports the truth, takes practical measures, does practical things, and is pragmatic and effective, create a good business environment, improve governance levels, and strictly enforce Discipline, strict responsibility, strict implementation, strict control of various moral risks, operating risks and governance risks, to maintain and enhance the image of our bank. On the one hand, it is necessary to improve all employees’ familiarity with strengthening compliance culture education. Employees are the main body of compliance culture construction, and they are also the practitioners and creators of compliance culture. Without the active participation of employees, it is impossible to build an excellent quality culture. A company with a poor compliance culture, let alone asking its employees to abide by the law. It is necessary to concentrate time and energy on the training and assessment of accounting personnel. Business training should strive to be comprehensive, systematic, professional, practical, and upgrading, and strive to raise the overall quality of the workforce to a higher level on the original basis. Through a series of activities, all employees can correctly grasp the true scientific connotation of compliance culture construction, consciously integrate into the compliance culture construction, enhance the awareness of internal control and governance, pay close attention to basic governance, and promote legal and compliant operations.
2. Strengthening compliance culture education is the need to establish a long-term development mechanism.
The construction of compliance culture and education is a huge and systematic project that cannot be completed overnight. It is necessary to reasonably determine development goals, have certain planning goals within a period, and finally establish a mechanism to adapt to long-term development. From our perspective, it should include spiritual culture, values, goals, systems, environment, image, etiquette, logos, etc., to form a cultural management concept with its own characteristics. First of all, it is necessary to take the form of going out, inviting in, etc., through learning, exchanges, and discussions to make all employees aware of how Postal Bank should develop, how employees should do their jobs well in their own positions, and how different they are from other employees. How big is it and how should it be improved? What is your role in the big family of postal savings? How much effort have you made? What are your constructive opinions on the reform and development of postal savings?
It is necessary to establish the compliance culture of our bank by talking about familiarity and personal outlook on life, world view, and values, thereby improving the cohesion and combat effectiveness of the ABC. Secondly, it must be combined with the special treatment of cases and the ongoing special work on combating commercial bribery. It is necessary to make overall plans and make reasonable arrangements, strengthen the analysis and research of business links that are prone to unfair trading behaviors and commercial bribery, highlight the key points, and carry out special projects in a targeted manner. Governance, 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 disciplines and laws, provide clues to cases, promote in-depth special work on cases, and improve corporate compliance culture.
Finally, we must combine the actual work, conscientiously carry out standardized services, and conduct special studies on some detailed and difficult issues in accordance with the provisions of various regulations of the head office. For the current business operation and counter service situation, we must carefully summarize and segment customer groups and business needs, integrate limited resources, and brainstorm on service focuses where there are major contradictions and service difficulties, open up ideas, constantly innovate service methods, and maximize Satisfy customer needs to the maximum extent and enhance the essence of corporate compliance culture. Summary of Bank Compliance Education Activities Part 4
Recently, my superiors carried out the special education and learning activity "Start from Me, Compliance Operations". During the learning activities, I followed the relevant activity opinions issued by the superior department. , and combined with my actual situation at work, I have a deeper understanding of professional ethics and integrity, awareness of compliance operations, and awareness of supervision and prevention. Now I will summarize some experiences from this learning activity, which is also my rational understanding of this educational learning activity.
1. Dedication to work and selfless dedication
Dedication in the ordinary. Dedication to work and dedication is the most common spirit of dedication in all walks of life. It seems ordinary, but in fact it is great. From a large perspective, a career and a job position are the basic guarantee for a person's survival and development. From a small perspective, for example, in our Agricultural Bank of China, the job position held by each person is the guarantee of personal survival and development, and it is also necessary for the existence and development of the Agricultural Bank of China. If the Agricultural Bank of China wants to develop, continue to grow stronger and remain invincible in this highly competitive financial industry, it cannot do without the selfless dedication of each of our comrades. As a member of CCB, for the future of Agricultural Bank of China and the honor of Agricultural Bank of China, being a dedicated person is the most important behavioral rule for us to standardize the quality of behavior and evaluate good and evil.
As employees of a financial unit, they should pursue morality and morality in their profession. If they go the wrong way, they will make mistakes and lose their way; if there is no morality, it will be difficult to serve the people. If you do not serve, you will not be able to talk about your own career, there will be no prosperity for the unit's business, there will be no development of personal career, and the social value of personal existence will be lost. I am now working in the Agricultural Bank of China. This is my profession and my only profession. I have been engaged in this profession since I joined the work, and I have always loved this profession. I have a strong interest and deep feelings for the work of the Agricultural Bank of China, so I have always been dedicated to my job. Only dedication and dedication are the concrete embodiment of my spirit of serving the people.
Professional ethics must also be honest and trustworthy. The so-called honesty means loyalty, loyalty and honesty. The so-called keeping one's word means keeping one's word, being trustworthy and trustworthy, and fulfilling one's obligations. Therefore, through this study, I have a deeper understanding of the fundamentals, conduct, words, deeds, and responsibilities of an ABC employee. That is to continuously strengthen learning at work, always demand myself in accordance with professional standards, and work hard to achieve success. Make yourself invincible.
2. Strengthen the learning of business knowledge and improve the awareness of compliance operations
"There is no rule without rules." As a front-line employee of an outlet, we must effectively improve our business quality and risk prevention capabilities, and comprehensively Strengthening counter marketing and counter services is the most practical task of our counter staff. As a teller clerk, I know the importance of teller work because it is the window for customers to directly understand our bank and serves as a bridge between customers and the bank. Therefore, in my work at the counter, I always insist on being a "careful person". Learn business humbly, practice skills with heart, handle business patiently, and treat customers enthusiastically.
In the increasingly fierce competition in the banking industry, we are all clearly aware that only more patient, thoughtful, fast and high-quality services can win more customers for our bank and win a better social image. We face all kinds of customers at different levels and all kinds of things every day, which requires our front-line employees to have a high degree of ideological awareness.
Strengthening the awareness of compliance operations is not an empty talk. Sometimes, we always feel that some rules and regulations are restricting the management of our business and restricting the development of our business. If we think about it carefully, this is not the case. The establishment of various rules and regulations is not the product of imagination, but the result of experience. Based on many practical work experiences and lessons, only by acting in accordance with various rules and regulations can we have the ability to protect our own rights and interests and safeguard the rights and interests of our customers. Our various rules and regulations are like a huge machine. Each system is a machine part. If we do not operate and maintain it according to the procedures, even one missing nail will cause immeasurable losses. , the maintenance and implementation of various systems require our employees to strictly implement them.
3. Strengthen the implementation and supervision of rules and regulations and awareness of case prevention
Banks are known as the "Three Irons": "iron system, iron abacus, and iron ledger". It is precisely because of the bank's "iron abacus" "Three irons", banks are trustworthy in the hearts of the people. Whether the rules and regulations are implemented or not depends on the employees' clear understanding and proficiency in various rules and regulations. Failure to comply with the rules and not evade the rules are the key issues in various industries. As for the implementation of rules and regulations, front-line tellers must start with me from the inside, handle every business correctly, carefully review every bill, and supervise authorized business. Legal compliance, strictly implement business operating system security precautions, resist various illegal operations, etc., do a good job of mutual restraint and mutual supervision, and cannot deviate from the rules and regulations to hinder colleagues or one-sided pursuit of economic benefits. Only by following the rules can our system be implemented and our financial security can be guaranteed. If it is not implemented well, it will lead to the opposite of bank compliance. Summary of Educational Activities Part 5
In order to further enhance employees’ awareness of legal compliance, risk prevention and self-protection, ICBC xx Branch has carried out “case study and correction” among all employees of the bank since February 20**. "Violations should be rectified" warning education activities.
1. Use the case as a lesson to learn and educate
Organize viewings. With branches and departments as units, organize managers, party members and cadres, important The staff watched the "Warning Education Film" and visited the warning education base. After the viewing, employees were organized to talk about their feelings and conduct intensive discussions.
Industrial and Commercial Bank of China XX Branch "Alarm Bell" and newly compiled cases in the industry carry out warning education for all employees, strengthen employee learning and education through explanations of key clauses, centralized education, employee self-study, case analysis, risk investigation education, etc., and encourage employees to learn lessons and improve internal management through studying cases , strictly implement the system and strengthen risk prevention and control.
Learning system is based on branches and departments, and adopts centralized learning, special training, special discussions, dedicated explanations and individual self-study, as well as the supervision office and internal control and compliance department. , the Human Resources Department organizes door-to-door lectures to organize employees to learn about rules and regulations and risk cases, and deepen their understanding and grasp of rules and regulations, focusing on studying the head office's "Case Prevention Responsibility System Management Measures", "Prohibited Regulations on Employee Behavior" and "Employee Violations". Handling Regulations", "Customer Manager Risk Prevention and Control Management Implementation Measures", "Risk Early Warning and Prevention Measures for Branch President Positions" and the issued risk event notifications
ICBC Branch xx passed the centralized integrity talk. In the form of interviews, interviews, "one-on-one" conversations, admonishment conversations, exhortation conversations, etc., we reiterate the disciplinary requirements, point out existing problems and bad tendencies, put forward rectification suggestions, further improve the ideals and beliefs of managers, and the concepts of party discipline and law, and clarify the disciplinary requirements of each party. Article 1 of the Integrity Regulations requires that we work with integrity.
2. Apply what you have learned and learn while making corrections
First, check and correct while doing so. Based on the existing problems in internal management, system learning, supervision and inspection disclosed in the cases, ICBC xx Branch drew inferences from one instance to find out and in-depth rectification of relevant problems existing in the unit and individuals.
When studying cases, let employees understand the basic case facts, crime methods, reasons for the case, and personnel handling, etc., and guide employees to analyze problems in depth, find causes, and reveal risks, so as to effectively learn lessons from the case, improve internal management, and strictly implement the system. Strengthen the role of risk prevention and control. The second is to visit customers, hold discussions with employees, solicit advice from account managers and key personnel on professional ethics and business operations, and rectify problems.
The third is to inspect and guide, and do a good job in rectifying risk points in key areas and key links such as small business credit, personal housing and operating loans, credit card installments, private financing and guarantees, asset risk management and control, and centralized procurement. . The fourth is to analyze and rectify existing problems. Insist on inspection and review while implementing rectifications. Problems discovered during self-inspections and organizational inspections must be corrected in a timely manner to avoid going through the motions and put forward suggestions for improvement and improvement.
3. Establish rules and regulations to eliminate hidden dangers
Put learning and education, find problems and hidden dangers, establish rules and regulations, and control and rectify them throughout the activity. After each activity, members of the branch’s “Five Ones Working Method” leadership team inspected, evaluated and summarized the implementation of warning education activities across the jurisdiction to promote the normalization and long-term effectiveness of educational activities. The inspection and supervision personnel in charge of each bank proactively play the role of organization and coordination, and promptly supervise, inspect, and report on the status of education activities. Summary of Bank Compliance Education Activities Part 6
In accordance with the requirements of the Municipal Branch Discipline Inspection Commission's "Notice on Concentrated Carrying out Warning Education Activities", our bank took the opportunity of organizing all employees to watch the head office's series of case prevention and warning education films to seriously carry out Warning education activities, combined with actual conditions and regulations, conduct self-examination and troubleshooting, further educate employees across the bank to abide by rules and disciplines, operate in compliance, build a solid ideological and moral defense line, and further enhance the awareness of cadres and employees in compliance operation and self-discipline. The progress of the activities is now reported as follows:
1. Do a good job in mobilization and deployment.
According to the spirit of the notice from the Discipline Inspection Commission of the Municipal Branch, our bank regards this warning education activity as an important starting point to strengthen employee professional ethics education, prevent occupational crimes and promote internal control management. At the November case prevention analysis meeting, the president mobilized to carry out warning education activities, further unified thinking, recognized the situation, and required the entire bank to fully understand the importance and urgency of carrying out warning education activities, and to carry out warning education activities as a opportunities to strengthen the construction of internal control systems and improve execution capabilities. The branch clarified that this warning education activity will be led by the office, with the participation of the whole bank, and will be promoted in layers. A warning education activity plan was formulated, and 8 viewings and discussions were organized for managers, marketing personnel, employees in important positions and other employees. Members of the branch leadership team took the lead in watching the warning education film and participating in the discussion. As of December 29, all employees of the bank had watched the warning education film, and the coverage of the warning education activities reached 100%.
2. Do a good job in study and discussion.
In educational activities, our bank focuses on strengthening learning and discussion to deepen employees’ ideological understanding. First, focus on typical cases, carefully analyze the means of committing crimes, reasons for the occurrence of the cases, key points of prevention and problems in internal control management, deeply understand the harm of the cases to the collective and individuals, and further improve the professional quality and professionalism of all employees. The second is to focus on the basic system and deepen the study of the internal control and case prevention system and case management regulations, so that all employees can truly receive education and truly improve their awareness of resisting corruption, preventing corruption, and working with integrity.
3. Do a good job of control and inspection.
In the warning education activities, our bank adheres to the combination of teaching and investigation, focuses on practical results, carefully identifies weak links in the work, and makes timely rectifications. In response to the problems revealed in the case, all employees of the bank, especially management, marketing personnel and various departments, are required to connect their thoughts and work practices, check the implementation of various systems, identify the root causes and causes of the problems through self-examination, and formulate practical policies. Possible corrective measures.
First, compare with ideological reality, firmly establish a correct outlook on life, values, and power, consciously improve awareness of legal compliance, earnestly abide by rules and regulations, perform professional ethics in a down-to-earth manner, and cherish career.
The second is to perform the main responsibilities, tasks and requirements of internal control case prevention according to the internal control case prevention system and one's own position, investigate the problems of insufficient performance of duties in the internal control case prevention work, and seriously rectify them.
The third is the "Notice on Strengthening the Reporting of Emergencies in the Banking Industry", "Regulations on Handling Case Clues", "Measures for Rewarding Employees for Resisting Reports of Major Violations of Violations and Discipline and Intercepting Cases (Trial)", etc. We will re-learn the system regulations that are closely related to the interests of employees, and further strengthen the awareness of case prevention and self-protection of grassroots employees.
Through this warning education activity, the awareness of all employees of the bank to abide by rules and regulations and operate in compliance has been further enhanced, and the ideological and moral defense line has been further consolidated, which will surely provide a solid guarantee for the sound and rapid development of the bank's business. ;