农行河南分行内控合规人员绩效考核改进研究

发布时间：2018-05-05 11:50

本文选题：内控合规 + 绩效考核　；参考：《西安工业大学》2014年硕士论文

【摘要】：近年来,我国银行业在保持高速发展的同时,也面临着金融环境巨变带来的严峻挑战。强化合规管理是银行业在市场经济环境下经营发展的必然选择。对合规人员实施科学的绩效考核,是合规部门实施绩效管理、优化人力资源配置和提高合规管理水平的需要,也是银行业实现合规管理战略目标的重要抓手。本文研究目的是围绕商业银行发展战略,从合规部门工作目标出发,对合规人员的素质、工作情况以及对合规事业的贡献程度进行评价,以提高合规人员工作成效。作为贯彻现代管理理念的重要工具,实施绩效考核既是正确评价合规人员所做贡献,激发工作积极性和工作效率,促进合规部门和谐运转的关键环节,又是提升部门整体效能,不断提高管理水平的重要渠道。本文研究内容从绩效考核理论、银行合规管理理论和人力资源管理理论等基础理论和相关专业知识切入,在深入调查研究的基础上,把握研究的切入点,全面分析河南农行内控合规人员绩效考核存在的问题,提出河南农行内控合规人员绩效考核的考核办法和具体实施措施。本文将人力资源管理的相关理论引入河南农行内控合规人员这个特定的背景之中进行绩效考核方案制定,结合河南农行内控合规管理的现状实际,从内控合规人员绩效考核入手,运用平衡计分卡原理设计内控合规人员绩效考核指标,制定了内控合规人员绩效考核调查问卷,构建优化了内控合规人员绩效考核的方案模型。通过研究,为国有商业银行强化内控合规管理提供了科学合理建议,促进了国有商业银行合规管理水平提升和改革发展步伐迈进。
[Abstract]:In recent years, China's banking industry is facing the severe challenges brought by the great changes in the financial environment while maintaining its rapid development. Strengthening compliance management is the inevitable choice for the banking industry to operate and develop under the market economy environment. The implementation of scientific performance appraisal for compliance personnel is the need for compliance departments to implement performance management, optimize the allocation of human resources and improve compliance management level. It is also an important grasp for banks to achieve compliance management strategic objectives. The purpose of this paper is to evaluate the quality, working condition and contribution of compliance personnel around the development strategy of commercial banks, and from the work objectives of compliance department, in order to improve the effectiveness of compliance personnel work. As an important tool to carry out the modern management concept, the implementation of performance appraisal is not only the key link of correctly evaluating the compliance personnel's contribution, arousing the work enthusiasm and working efficiency, promoting the harmonious operation of the compliance department, but also enhancing the overall efficiency of the department. Continuous improvement of the management level of important channels. The research content of this paper starts with the basic theories and related professional knowledge, such as performance appraisal theory, bank compliance management theory and human resources management theory, and on the basis of in-depth investigation and research, it grasps the breakthrough point of the research. This paper comprehensively analyzes the problems existing in the performance appraisal of Henan Agricultural Bank's internal control compliance personnel, and puts forward the appraisal methods and concrete implementation measures of Henan Agricultural Bank's internal control compliance personnel's performance appraisal. This paper introduces the theory of human resource management into the specific background of Henan Agricultural Bank of China's internal control compliance personnel to formulate the performance appraisal scheme, combining with the actual situation of Henan Agricultural Bank's internal control compliance management. This paper starts with the performance appraisal of internal compliance personnel, designs the performance appraisal index of internal control compliance personnel by using the principle of balanced scorecard, formulates the questionnaire of internal control compliance personnel performance appraisal, and constructs the scheme model of optimizing the performance appraisal of internal control compliance personnel. Through the research, it provides scientific and reasonable advice for the state-owned commercial banks to strengthen the internal control compliance management, and promotes the improvement of the compliance management level of the state-owned commercial banks and the pace of reform and development.
【学位授予单位】：西安工业大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.33;F272.92

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