本文選題：合規(guī) + 積分��； 參考：《南昌航空大學(xué)》2017年碩士論文

【摘要】：合規(guī)經(jīng)營(yíng)是指經(jīng)營(yíng)活動(dòng)與法律、規(guī)則相一致,它不僅是銀行持續(xù)穩(wěn)健經(jīng)營(yíng)的關(guān)鍵因素,更被視為金融機(jī)構(gòu)開展業(yè)務(wù)的首要條件。合規(guī)經(jīng)營(yíng)作為內(nèi)部控制的主要目標(biāo),它肩負(fù)著銀行風(fēng)險(xiǎn)識(shí)別和管控的重任,尤其在金融業(yè)改革、銀行戰(zhàn)略轉(zhuǎn)型和利率市場(chǎng)化的逐步推進(jìn)下,合規(guī)管理在各銀行機(jī)構(gòu)內(nèi)部風(fēng)險(xiǎn)控制的過(guò)程中有著舉足輕重的作用。為了進(jìn)一步提升銀行合規(guī)管理水平,有效增強(qiáng)員工的合規(guī)意識(shí),合規(guī)管理的信息化建設(shè)已迫在眉睫。本文首先論述了銀行合規(guī)管理的研究背景及意義,通過(guò)分析當(dāng)前合規(guī)系統(tǒng)的國(guó)內(nèi)外發(fā)展現(xiàn)狀,結(jié)合新余農(nóng)商銀行的工作實(shí)際,提出了基于MVC模式的合規(guī)積分管理系統(tǒng)。該系統(tǒng)通過(guò)對(duì)員工違規(guī)操作進(jìn)行管理,實(shí)現(xiàn)了員工操作的全方位監(jiān)測(cè)和風(fēng)險(xiǎn)預(yù)警,為銀行的風(fēng)險(xiǎn)防控提供了保障。為更好的滿足系統(tǒng)兼容性,提高系統(tǒng)的擴(kuò)展性和復(fù)用性,本文在分析銀行合規(guī)管理需求的基礎(chǔ)上,通過(guò)采用Spring和HTML5技術(shù),提出了基于MVC模式下的系統(tǒng)設(shè)計(jì)與研發(fā)。同時(shí),本文詳細(xì)論述了系統(tǒng)數(shù)據(jù)庫(kù)、控制層和業(yè)務(wù)邏輯層的實(shí)現(xiàn),并對(duì)合規(guī)積分管理、積分查詢統(tǒng)計(jì)、報(bào)表統(tǒng)計(jì)、業(yè)務(wù)管理、系統(tǒng)管理等主要功能模塊的具體實(shí)現(xiàn)進(jìn)行詳細(xì)介紹。
[Abstract]:Compliance management refers to the consistency of business activities with laws and regulations, which is not only the key factor for banks to continue to operate steadily, but also regarded as the first condition for financial institutions to carry out business. As the main target of internal control, compliance management is shouldering the responsibility of risk identification and control of banks, especially with the reform of financial industry, the strategic transformation of banks and the gradual promotion of interest rate marketization. Compliance management plays an important role in the process of internal risk control of banking institutions. In order to further improve the compliance management level of banks and effectively enhance the compliance awareness of employees, the information construction of compliance management is imminent. This paper first discusses the background and significance of the research on the compliance management of banks. By analyzing the current domestic and international development situation of compliance system and combining the actual work of Xinyu Agricultural Commercial Bank, a compliance integral management system based on MVC model is put forward. Through the management of employees' illegal operation, the system realizes the omni-directional monitoring and risk warning of employees' operation, and provides the guarantee for the bank's risk prevention and control. In order to better meet the system compatibility and improve the extensibility and reusability of the system, this paper, based on the analysis of the requirements of bank compliance management, puts forward the system design and development based on MVC mode by adopting Spring and HTML5 technology. At the same time, the realization of system database, control layer and business logic layer is discussed in detail, and the compliance integral management, integral query statistics, report statistics, business management, etc. System management and other main functional modules are described in detail.
【學(xué)位授予單位】：南昌航空大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：TP311.52

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