Self-inspection report on risk control work

# Report # Introduction Self-inspection report is a report style that a unit or department conducts self-inspection on the problems existing in the implementation of a certain work in a certain period of time. The following is the self-inspection report of risk control work, welcome to read!

Article 1 Self-inspection Report on Risk Control Work

First, administrative work. During the first half of the probation period, I mainly participated in the administrative work of the company. I am honored to have gone through the whole process from preparation to registration and opening with my colleagues.

During the preparation of the company, I carefully proofread and sort out the application materials for opening; Assist leaders in convening the first shareholders' meeting in 20xx and the first board meeting in xx; Cooperate with the collection company for the second company recruitment; Participated in two Nanjing trainings; Assist the leader to solve the problems left over by the company's decoration; And actively participate in the preparations for the company's opening ceremony.

After the company opened, it mainly participated in the procurement of office supplies, the procedures for employees to join the company, the initial establishment of the company's administrative system, the first shareholders' meeting in 20xx, and the second board meeting in xx.

Second, risk control.

I have been transferred from the administrative post to the risk control post for more than a month. In this more than one month, according to the company's regulations, I have basically filed the contract files left over during the opening period, and the company's contract files have begun to take shape. Now new business data can also be filed in time.

As far as business is concerned, this is a brand-new field for me. Manager Guo also showed me around some enterprises, which benefited me a lot. However, I deeply feel my lack of financial knowledge and work experience, so I keep pushing myself to continue studying, hoping to be qualified for the post of risk control as soon as possible.

The end of the probation period is the end of this stage for me and the starting point of the next stage. It is precisely because of this indispensable internship experience that I have seen my own strength more clearly, straightened my mind, studied with an open mind and worked actively. In the following work, I will continue to adhere to a positive and rigorous work attitude and tireless learning attitude, so that I can rapidly grow from an ambitious college student to an excellent employee with responsible work and skilled business.

Finally, I want to thank the company for providing me with this platform and the opportunity to exercise myself, and for giving me a new starting point in my life. Thank you for your cultivation and care. Thank you. I will live up to your expectations. Please believe me and evaluate me. Thank you.

Article 2 Self-inspection Report on Risk Control Work

In order to further promote the construction of the system of punishing and preventing corruption, strengthen the internal restriction and supervision on the operation of departmental power, gradually improve the long-term mechanism of combating corruption and rectifying the style of work, and promote sound and rapid business development, according to the Implementation Opinions of the General Office of the Municipal Party Committee and the General Office of the Municipal Government on Preventing and Controlling Corruption Risks, according to the deployment and arrangement of the Party Committee of the Bureau, from August 20XX, through the three links of "discovery, prevention and control", our bureau has carefully investigated our anti-corruption advocacy. First, strengthen leadership and raise awareness.

In order to do a good job in the prevention and control of corruption risks, prevent corruption from the source, promote cadres to be honest in politics, promote the construction of a system for punishing and preventing corruption, and ensure the implementation of various prevention and management measures, our bureau has set up a leading group for the prevention and control of corruption risks, with Comrade Chen Ruoyu, the director, as the team leader, the secretary and deputy director of the Disciplinary Committee as the deputy team leader, and the main responsible persons of functional departments as members. The leading group has an office, which is specifically responsible for the organization and coordination of this work, and has formulated the Implementation Plan for the Prevention and Control of Integrity Risks of Deyang Municipal Bureau of Commerce. Through careful analysis, find out the risk points and weak links in the power operation of our bureau, and establish the management consciousness of risk prevention and control of clean government; Identify the location, parts and links of risk points and make scientific evaluation; Establish a mechanism for preventing and controlling the risks of clean government, and expand the work field of preventing corruption from the source; Enhance cadres' awareness of being honest in politics and administering according to law, and reduce the risk of clean government. In the form of party committees, bureau office meetings, central group study, trade unions, etc. , mainly studied the China * * * inner-party supervision regulations (for Trial Implementation), the China * * * Party party member Disciplinary Regulations, and the China * * * Party party member Leading Cadres Several Guidelines (for Trial Implementation). Through the study, we can make everyone realize the project of conducting clean government risk investigation and establishing prevention and control mechanism.

Second, active deployment and extensive mobilization.

In August, 20XX, our bureau held a mobilization meeting for the prevention and control of clean government risks. Director Chen Ruoyu mobilized and deployed the special work, emphasizing that "investigating the risks of clean government and establishing prevention and control mechanisms" is an innovative measure for the construction of clean government. By moving forward, it puts the responsibility of effectively preventing and resolving the risk of clean government into every department, every post and everyone, thus establishing a long-term working mechanism to prevent corruption from failing, and truly managing power, people and people with the system. The special work started in mid-August and was divided into five stages: publicity and mobilization, risk self-inspection, risk assessment, measures formulation and risk supervision, and the self-inspection report on risk prevention and control was organized and implemented. All departments are required to understand the importance, necessity and urgency of preventing and controlling the risk of clean government from the political perspective of implementing the xx spirit of the Party, establishing and improving the system of punishing and preventing corruption, promoting the governance at the source and strengthening the construction of the Party's ruling ability, strengthening organizational leadership, making careful arrangements and seriously organizing implementation.

Third, in-depth search and active prevention.

According to the overall requirements of the implementation plan, our bureau adopts the combination of bottom-up and top-down, people-oriented, prevention-oriented, focused, open and transparent working principles, and comprehensively carries out the investigation work. Organizing, confirming and registering authority around the functions of the Municipal Bureau of Commerce; Focusing on standardizing the operation of power, looking for key positions, key links and key personnel may lead to dishonest behaviors or risk points that may lead to corruption and failure in terms of job responsibilities, business processes, institutional mechanisms and external environment. From the aspects of administrative affairs and business processes. , check the risk points of clean government one by one, and register and summarize the risk points after strict audit by the organization. 20XX 165438+ 10 * * identified 25 risk points in this department, and after being examined and approved by the Party Committee, it was reported to the leading group for the prevention and control of clean government risks in the city for examination and approval of 7 risk points. Fill in the Registration Form for the List of Management Powers of Integrity Risk Prevention and Control and the Registration Form for Risk Points of Integrity Risk Prevention and Control Management.

In April of 20XX, according to the spirit of the document "Implementation Opinions on Comprehensively Carrying out the Prevention and Control of Integrity Risks" (De Jifa [20xx] No.5) issued by the Supervision Bureau of the Municipal Commission for Discipline Inspection, our bureau made arrangements for continuing the prevention and control of integrity risks, re-determined 46 departmental risk points, and reported them to the leading group for the prevention and control of integrity risks in the city for approval. In particular, it puts forward new requirements for establishing a targeted prevention and control measures system.

Fourth, improve the system and dynamically prevent and control it.

Article 3 Self-inspection Report on Risk Control Work

In accordance with the unified deployment of the county commission for discipline inspection, the prevention and control of clean government risks will be carried out throughout the county. The related work in our town is summarized as follows: First, we should carry out extensive ideological mobilization and earnestly strengthen organizational leadership.

According to the spirit of the work conference on party style and clean government, combined with the reality of our town, we will convene a mobilization meeting for all employees in time to learn the spirit of relevant documents.

In order to achieve practical results in the prevention and control of integrity risks, a leading group for the prevention and control of integrity risks was established, with the secretary of the Party Committee as the leader, the mayor and the secretary of the Commission for Discipline Inspection as the deputy heads, and the principal responsible persons, financial directors, directors of civil affairs offices and heads of poverty alleviation institutions of relevant units as members. Among them, the team leader is fully responsible for the management of integrity risk prevention, the deputy team leader is responsible for supervising the implementation of various measures, and the leading group has an office, and the discipline inspection cadres are specifically responsible for the daily office work of integrity risk prevention and control management. Study and formulate the Implementation Plan for the Prevention and Control of Integrity Risks in huilong town, and start the management of integrity risk prevention and control in an all-round way.

Second, carry out solid and in-depth management of integrity risk prevention.

Discover and evaluate credit risk. First, find the source of the risk of clean government, incorporate the administrative power exercised into the scope of finding the risk point, and adopt the working methods of finding by yourself, helping by colleagues, proposing by leaders and organizing audits, so that all cadres and workers can deeply find the risk of clean government from three aspects: ideology and morality, system and mechanism, and post responsibilities. The second is to find risk points, focusing on finding personal post risks and unit risks, and filling in the self-inspection forms of personal and unit integrity risk points respectively. The third is risk grade assessment, which analyzes and evaluates the found integrity risk points according to the degree of harm and the frequency of occurrence, and determines different risk grades. For all kinds of risks that have been self-examined, they will be publicized on the bulletin board and audited for the record after being handled by the meeting of the integrity risk prevention management team. Fourth, study and formulate various measures to prevent the risk of clean government. After putting forward post risk prevention and control measures, they shall be audited by the leaders in charge and reported to the Commission for Discipline Inspection for the record. For the risks of each unit, after formulating specific prevention and control measures and related working procedures, report to the Commission for Discipline Inspection for the record. Through the recent anti-corruption risk management work, the risk base of anti-corruption in our town has been basically mastered, which has laid a good foundation for the establishment of anti-corruption risk early warning system, anti-corruption risk classification management and risk dynamic supervision.

Third, strengthen the education of clean government.

Education is the basis of promoting the construction of punishment and prevention system. Anti-corruption has always been a major political task of our party. Earnestly carry out the work of preventing the risk of clean government and strengthen the construction of punishment and prevention system. First, insist on conducting party class activities once a week, and organize cadres and workers in the town to learn and convey relevant documents of provinces and cities and the spirit of building a clean and honest party style for two hours every Monday morning. Second, it is necessary to extensively carry out a variety of clean government cultural activities and form a pattern of clean government cultural construction. Specifically, it is necessary to carry out the "Five Ones" activities: watch an audio-visual film on party style and clean government education, take a class on party style and clean government education, write an article on the experience of party style and clean government education, hold a forum on party style and clean government education, and make a test paper on party style and clean government education. With the theme of "building a levee to punish and prevent corruption, building a new style", we will actively promote the innovation of content and form of clean government culture, expand coverage, enhance influence, and form a fashion of "being proud of honesty and ashamed of greed"

Fourth, strengthen system construction.

1, improve the basic system of anti-corruption.

To promote the construction of punishment and prevention system, the system is the guarantee. We will fully implement the spirit of building a punishment and prevention system, establish and improve various systems such as collective leadership and division of responsibilities, notification and reporting of important situations, soliciting opinions on major decisions, and establish a system of accountability for decision-making mistakes. Implement the principle of combining collective leadership with individual division of responsibilities, and improve the internal supervision and restraint mechanism and accountability mechanism; Formulate the detailed rules for the implementation of the people-oriented life meeting, and further standardize and implement the people-oriented life meeting system; Improve the objective assessment system of leading cadres' integrity; Improve and strictly implement the reporting system for major issues of leading cadres; Improve the people's party centralism, adhere to intra-party consultation on major issues, and make the same decision; We will improve the system of informing, reflecting and soliciting opinions on major decisions within the party, and gradually promote the openness of government affairs and party affairs. Really form an effective mechanism to manage power, act according to the system and manage people by the system, ensure that all work has laws to follow, rules to follow and strict systems, and strive to prevent corruption from the source.

2. Improve the system of preventing corruption from the source.

For key positions and key links, in-depth analysis, find out the parts and links that are easy to induce dishonest behavior and corruption, establish and improve relevant administrative and business management systems, standardize procedures, strengthen internal control constraints, plug loopholes and eliminate hidden dangers.

3, standardize and strengthen the management of the use of funds, to ensure the legal, reasonable and effective use of funds, improve efficiency.

Conscientiously implement various rules and regulations, rationally use various funds, standardize the management of pre-budget (settlement) of various funds, effectively improve the anti-corrosion ability of cadres and workers, and improve the construction of punishment and prevention system in our town.

Verb (abbreviation of verb) strengthens supervision and inspection

(A) to strengthen inner-party supervision

Strengthen and improve inner-party supervision and thoroughly implement inner-party supervision regulations. Strengthen the supervision and inspection of party member cadres' performance of their duties and honesty and self-discipline, and seriously investigate and deal with party member cadres' violation of discipline. It is necessary to strictly implement the people-oriented centralism, the rules of procedure of leading bodies and the people-oriented life meeting, actively carry out inner-party inquiries and inquiries, and use measures such as talks and comments on cadres' integrity to strengthen the supervision of cadres' integrity in politics in party member. Deepen the openness of party affairs, improve and perfect the methods of supervision, improve the authority of supervision, pay attention to the application of supervision results, protect the people's right to know, participate and supervise, and ensure the effectiveness of supervision.

(B) to strengthen administrative supervision

Administrative supervision will be further strengthened through mass appraisal and accountability, work supervision and accountability, and efficiency complaints and accountability. In the second half of this year, we should focus on the following two tasks: First, we should carry out the Sunshine Government Action, deepen the openness of government affairs, ensure that every link of every activity is open, transparent, full and complete, and improve transparency. Second, we should promptly investigate and deal with the problems existing in the diligent and honest work of staff.

(3) Strengthening social supervision

It is necessary to solicit opinions through various forms such as holding symposiums, issuing consultation forms, and setting up suggestion boxes. It is necessary to implement an open system of handling affairs, open government affairs, and take the initiative to accept social supervision.

Sixth, deepen the construction of work style

Further strengthen the construction of party member cadres' ideological style, study style, work style, leadership style and life style, inherit the glorious tradition of the party, carry forward the spirit of hard struggle, vigorously carry forward the style of seeking truth and being pragmatic, stress party spirit, value conduct, set an example, tell the truth, examine the facts, do practical things and seek practical results, promote the political style with excellent party style, and strive to create a "upright party style, clean political style and harmonious people's customs".

(a) to carry out the theme activities of "improving work efficiency, improving service level, reducing official expenses and administrative costs", and further improve work efficiency from four aspects: strengthening work style construction, strengthening efficiency construction, adhering to diligence and improving management mechanism. Standardize official reception and strengthen the management of official vehicles.

(two) to carry out the "service efficiency survey" activities, the implementation of quality, speed and efficiency of zero errors, zero violations, zero complaints, "three mentions and three zeros" efficiency work method. Through collective search within the unit, self-examination of personal service efficiency, mutual inspection and mutual evaluation, we can find out the problems existing in efficiency, formulate and implement rectification measures, and establish a long-term mechanism.

In short, we will continue to seriously organize the construction of self-examination, punishment and prevention system, make clear the direction, pay close attention to implementation, make solid progress, strive to achieve new results in building a clean and honest party style and fighting corruption, and create a stable and harmonious environment for the sustainable development of huilong town.

Self-inspection report on governance in four winds

The teachers and students in the school are healthy and maintain the normal education and teaching order. According to the spirit of the Notice of Education Bureau of Taiyuan and xiaodian district on Carrying out the Self-inspection of Food Hygiene and Safety and Prevention and Control of Infectious Diseases in Schools, the school took active actions while ensuring the normal and orderly development of education and teaching, and carried out comprehensive and meticulous self-inspection activities under the leadership of President Zheng of our school. The self-inspection of the school is reported as follows: First, improve the organization, improve the system and establish a plan.

Every semester, the school has set up a leading group for the prevention and control of infectious diseases headed by the principal, which regularly and irregularly organizes personnel to check the school safety work, and strengthens the leadership, supervision and inspection of public health emergencies in the school. The school's "prevention and control" work system is perfect, and a series of safety work systems and plans have been formulated.

Second, publicity and education on the prevention and treatment of infectious diseases have been strengthened.

The school has conducted many times of education on infectious disease prevention knowledge and health knowledge for students through class meetings, which has enhanced students' self-care awareness; At the same time, the school also attaches great importance to the education of students' behavior habits. Educate students to develop good hygiene habits and improve their self-protection ability. The school organized health supervisors to carry out personal hygiene inspection throughout the school. Through education and supervision, students' personal hygiene habits have improved obviously, and everyone is proud of hygiene, but not ashamed of it. In order to better implement health education, we also take various forms of education according to the characteristics of students. Use speeches, blackboard newspapers, etc. under the national flag. Promote knowledge of health care, disease prevention, food and drinking water hygiene to students, and cultivate students' good hygiene habits.

Third, establish a system of morning inspection and morning paper.

The school set up an infectious disease prevention and control team, and defined the person in charge of the team and the epidemic situation reporter. Our school has also established and improved the morning check-up and morning paper system according to the requirements of superiors, taken emergency measures, and insisted on early detection, early reporting, early isolation and early treatment, and did not report late, fail to report or conceal. Strictly implement the morning check-up system and the reason tracking registration system for students who are absent from class due to illness. Every morning, the leaders on duty accompany the class teacher to conduct a comprehensive inspection of each class, so that students can find, report and treat diseases early. Get in touch with parents as soon as you find that some students are absent from class and ask about the situation.

Fourth, carry out extensive health care activities.

The school actively organizes students to carry out regular cleaning activities. Clean the classroom and health area three times a day. When cleaning the classroom, students are required to sprinkle water first, then sweep the floor and then mop the floor. Avoid flying dust when cleaning, clean up and rectify the campus health environment, so as not to leave a sanitary corner, and keep the toilets and public places clean. Each class insists on indoor ventilation, and the classroom insists on opening windows every day to ensure fresh indoor air. In the season of high incidence of infectious diseases, the school insists on disinfecting the classroom floor and air with disinfectants, and keeps disinfection records.

Article 5 Self-inspection Report on Risk Control Work

In order to prevent the internal institutions and employees of the Bank from violating the rules and protect the legitimate rights and interests of customers, according to the spirit of the Notice of the General Office of the China Banking Regulatory Commission on the Risk Investigation of the Agency Business of Banking Financial Institutions (No.335), the Bank quickly organized personnel to conduct self-inspection on the agency business. The self-inspection report is as follows: 1. Strengthen organizational leadership and put the self-inspection work in place.

At present, the bank only conducts two agency businesses, namely, insurance agency business and sales of wealth management products. Our insurance agency business is in its infancy, and we only carry out insurance agency promotion business, and customers take the initiative to go to insurance companies in person. Our bank only provides cooperative insurance companies and does not sell insurance as an agent. The risk investigation of this consignment business focuses on the bank's business of selling RMB wealth management products from * * * banks.

We attach great importance to the self-inspection of this consignment business. In order to ensure the implementation of self-inspection, the Personal Banking Department will organize branches to carry out self-inspection of consignment business in strict accordance with the spirit of the document, form a self-inspection report and report it to the Personal Banking Department, which will conduct spot checks. As the bank's agency sales of wealth management products are still in its infancy, and it is only carried out in outlets in * * * District, and the agency business scope is narrow, the Head Office requires all branches and outlets to take the opportunity of self-examination and focus on comprehensively strengthening the requirements of agency business, so as to lay a solid foundation for the all-round development of the bank's agency business.

Second, the content of self-examination

According to the Notice of the General Office of China Banking Regulatory Commission on Risk Investigation of Consignment Business of Banking Financial Institutions, the Bank actively carried out self-inspection on consignment business, and now the results of self-inspection are reported as follows:

(1) Choose partners carefully and sell products on commission.

We carefully select the wealth management products sold by our agents. After many investigations and years of development and improvement, * * Bank has an efficient risk control system, and has signed cooperation agreements with many banks through the banking platform. The Bank signed a cooperation agreement with * * * Bank on the sales of wealth management products on a bank-to-bank platform, selling wealth management products with the risk level of * * * Bank as an agent, focusing on capital preservation and floating income, which fully reduced the investment risk of customers.

The agreement between the bank and * * * Bank clearly stipulates the responsibilities and obligations of the issuer and the agent. The product risks and customer interests of the wealth management products sold by the agent bank are borne by * *, and the bank fully reveals the product risks to the customers in the sales process. For the sales of each wealth management product, the bank also signed a wealth management product sales contract with * * * Bank in stages. If the other party has irregularities and major risks, the bank may terminate its cooperation with it at any time. During the consignment period, the bank keeps track of the performance of "* * *", and each period can break even and realize the expected income.

(2) Internal system and implementation

In terms of sales process, the Bank has formulated the Measures for the Management of Wealth Management Business of Bank Co., Ltd., the Operating Rules for the Consignment of Wealth Management Products of Bank Co., Ltd. and the Accounting Measures for the Consignment of Wealth Management Products of Bank Co., Ltd., established a leading group for wealth management products, and defined the' responsibilities' of relevant offices in all aspects, which are interlocking and not out of touch. In practice, all departments and branches of the Head Office cooperated with each other and strictly implemented various rules and regulations, which ensured the smooth operation of all aspects of this business and never made mistakes. The Head Office regularly inspects and supervises the wealth management business of sales outlets, combs the opinions and suggestions of customers and wealth management personnel, summarizes related problems, and improves the internal control system.

(3) Financial management personnel

The bank has trained the wealth management personnel for many times, and the wealth management personnel have the professional quality of selling wealth management products. After investigation, the bank's wealth management personnel can do a good job in evaluating customers' risk tolerance during the sales process, inform customers of relevant risk assessment opinions, strictly abide by the principle of risk matching, introduce wealth management products suitable for their risk tolerance to customers, and fully reveal the risks of wealth management products, and let customers personally sign and confirm each step. There is no unauthorized recommendation or sale of wealth management products or unapproved third-party products that are inconsistent with customers' risk tolerance.

(d) business processes

Our bank adopts a combination of manual bookkeeping and machine deduction. Salespeople set up manual ledgers. At the end of the fundraising period, the fund collection bank will deduct the money from the customer's wealth management account in batches, collect it into the clearing account of our bank, and transfer it to the collection account designated by * * Bank on the fund transfer date, and be responsible for checking the principal, income and management fee of wealth management funds on the maturity date, and transfer the wealth management funds and income into the customer's wealth management account in batches. All accounts are handled by the fund collection bank after being authorized by the Personal Banking Department of the Head Office, and there is no offline sales or manual invoicing.

(5) Handling customer complaints

The Bank has specially formulated the Administrative Measures for Handling Customer Complaints of * * * Bank Co., Ltd., and the communication mechanism of the Bank is flexible, responsive to customer complaints and timely solving problems. Up to now, the Bank has not received any complaints from customers about the business of selling wealth management products as an agent.

Third, the self-examination summary

Through the self-examination of the consignment business of wealth management products, the whole business process of the bank's consignment of wealth management products was comprehensively sorted out, and all business outlets carried out the consignment business of wealth management products in strict accordance with the relevant systems, and there was no violation. In the future, the Bank will continue to carry out consignment business in strict accordance with various rules and regulations, and at the same time strengthen the study of professional knowledge of investment and wealth management business for wealth management personnel, improve their comprehensive business quality and obtain relevant qualification certificates, so as to further promote the development of our wealth management business.