The Design And Implemention Of Compliance Management System For Changjiang Securities

Compliance management is more important for the management of Changjiang Securities,and it has also become a problem of high concern in the operation and maintenance phase of Changjiang Securities.In view of the high risk of securities companies,with the gradual development of information technology,the links between businesses are closer,and a unified compliance management system needs to be built in many businesses.Nowadays,the internal compliance management business of Changjiang Securities lacks the management of unified compliance data,which limits the development of informationization construction towards intelligence,visualization and refinement The maintenance of the internal development process of Changjiang Securities has become very urgent.Changjiang Securities' management and control policies are constantly changing.In order to better search and maintain data,it is necessary to study a unified compliance management system.The overall structure of the compliance management system is divided into different levels using a top-down model.It uses the overall architectural diagram to show the structural relationships between the various levels.In the development process,it chose the architectural mode as B/S and the language as Java.The firamework uses the Spring Boot and Mybatis integration framework to store data to the MySQL database.After the overall planning of the system business needs,this paper proposes the system design,and realizes the six aspects of the legal system,compliance review,compliance inspection,compliance specialization,customer risk classification,system management and so on.Among them,the legal system management proposes management operations on data such as company systems,system classification,and litigation.Compliance review management enables compliance review of special texts,connected transactions,and new products and new businesses.The compliance inspection mainly handles the operations such as compliance inspection at the headquarters,compliance inspection at branches,self-inspection of external supervision,and external supervision and inspection.Compliance letter,consultation,interpretation,risk event handling,compliance risk control committee,etc.are the functions of compliance management.The customer risk level is divided into the business achieved by the compliance risk control committee,which has new customer ratings,new customer management,regular audits,grade changes,manual grading,stock customers,overdue process queries,statistical modules,and risk information reporting.System management can maintain sensitive personnel,suspicious transactions,blacklists,question banks,etc.,and complete the operation of Changjiang Securities compliance training.Through the construction of the compliance management system,it is easy for the compliance risk control committee to grasp the current status of compliance management work in a timely and clear manner,which helps to review the status and conduct of risk events,and realize the process control of compliance management and reduce Compliance management costs.This will lay the foundation for the stable development of Changjiang Securities.