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

【摘要】：合規(guī)經營是指經營活動與法律、規(guī)則相一致,它不僅是銀行持續(xù)穩(wěn)健經營的關鍵因素,更被視為金融機構開展業(yè)務的首要條件。合規(guī)經營作為內部控制的主要目標,它肩負著銀行風險識別和管控的重任,尤其在金融業(yè)改革、銀行戰(zhàn)略轉型和利率市場化的逐步推進下,合規(guī)管理在各銀行機構內部風險控制的過程中有著舉足輕重的作用。為了進一步提升銀行合規(guī)管理水平,有效增強員工的合規(guī)意識,合規(guī)管理的信息化建設已迫在眉睫。本文首先論述了銀行合規(guī)管理的研究背景及意義,通過分析當前合規(guī)系統(tǒng)的國內外發(fā)展現(xiàn)狀,結合新余農商銀行的工作實際,提出了基于MVC模式的合規(guī)積分管理系統(tǒng)。該系統(tǒng)通過對員工違規(guī)操作進行管理,實現(xiàn)了員工操作的全方位監(jiān)測和風險預警,為銀行的風險防控提供了保障。為更好的滿足系統(tǒng)兼容性,提高系統(tǒng)的擴展性和復用性,本文在分析銀行合規(guī)管理需求的基礎上,通過采用Spring和HTML5技術,提出了基于MVC模式下的系統(tǒng)設計與研發(fā)。同時,本文詳細論述了系統(tǒng)數(shù)據(jù)庫、控制層和業(yè)務邏輯層的實現(xiàn),并對合規(guī)積分管理、積分查詢統(tǒng)計、報表統(tǒng)計、業(yè)務管理、系統(tǒng)管理等主要功能模塊的具體實現(xiàn)進行詳細介紹。
[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.
【學位授予單位】：南昌航空大學
【學位級別】：碩士
【學位授予年份】：2017
【分類號】：TP311.52

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