State-owned enterprises compliance risk management and control of the current situation and improve the strategy to explore

First, the current state-owned enterprises compliance risk control problems

(a) state-owned enterprises lack of perfect compliance risk control system

With China's "One Belt, One Road" initiative to promote the development of state-owned enterprises, the state-owned enterprises not only need to enhance their own domestic competitive advantage, but also with foreign counterparts in the fierce competition. However, the current internal control system of compliance risk of state-owned enterprises is not sound enough, and because of the traditional business concepts have been y rooted in business operations, resulting in the existence of state-owned enterprises are not clear enough job responsibilities, the staff's comprehensive ability to lower and prevent the risk of awareness of a series of problems.

(2) State-owned enterprises lack a clear understanding of the responsibility of the compliance risk management department

At present, the majority of managers in state-owned enterprises lack the understanding and knowledge of compliance risk management, resulting in the internal compliance risk management work by the business development of the serious constraints. On the one hand, the compliance risk management mechanism and measures developed by the enterprise are too formalized, and cannot be comprehensively implemented throughout the whole process of internal management. On the other hand, there is a lack of cooperation between the various departments of the company in the process of compliance risk management.

(3) State-owned enterprises are uncertain about the ability of compliance risk management employees

In recent years, although state-owned enterprises are constantly updating their resources and expanding the scale of compliance risk management personnel, the ability of compliance risk management personnel is uneven, and the responsibility for each other's case occurs, which has a serious impact on the construction of the internal staff of the enterprise. The construction of the internal workforce of the enterprise. In addition, in the process of evaluating the ability of compliance risk control personnel, the evaluation criteria are not rigorous enough to determine whether the workers have the appropriate ability.

(4) The lack of a comprehensive evaluation system and accountability mechanism within the state-owned enterprises

In the state-owned enterprises, the relevant managers failed to pay enough attention to the compliance risk management work, and there was often a perfunctory behavior in the evaluation system establishment, making the compliance risk management evaluation not fair and transparent. Even if some enterprises have a more scientific evaluation method, but in the actual operation process, the enterprise department is more, the division of labor is not clear enough, easy to produce interdepartmental responsibility for each other, resulting in the binding of the enterprise related responsibility mechanism greatly reduced, while the enterprise each department's responsibilities are different, resulting in the enterprise accountability mechanism is difficult to play a corrective role in the employee's wrongdoing.

Second, the state-owned enterprises compliance risk management improvement strategy

At this stage, in our country's state-owned enterprises hidden in the law compliance management hidden trouble, once these potential problems are exposed, will seriously affect the development of enterprises. Based on this situation, China must carry out a comprehensive reform of state-owned enterprises, and constantly guide the enterprises to achieve legal compliance production and management, through the whole process of strategic reform, to accelerate the process of high-quality development of enterprises, and provide impetus for the development of the overall market, the specific work can be carried out from the following six aspects.

(a) the scientific establishment of state-owned enterprises compliance risk management mechanism

based on the State-owned Assets Supervision and Administration Commission of the State Council's relevant policies, combined with the actual situation of the state-owned enterprises and the future development goals, our country introduced a system of laws and regulations, the audit of the enterprise's financial related activities, business management work, etc.

the audit of the enterprise's financial related activities, business management work, and the supervision of the content of the specific breakdown. The content of supervision is specifically subdivided. At the same time, the internal management process of state-owned enterprises should also be optimized to establish a sound compliance risk prevention system, but also set up a job responsibility system, clear positions and departmental responsibilities, in order to establish a scientific and reasonable state-owned enterprise compliance risk management mechanism.

(2) Enhance the rationality of the compliance risk management department

State-owned enterprises should be based on the current organizational form of the enterprise and the relevant laws and regulations, the scientific and rational establishment of the compliance risk management department, for the employees to perform their corresponding functions to provide strong protection. At the same time, state-owned enterprises should expand the scope of management personnel to perform their duties, increase the content of compliance risk control, and comprehensively enhance the awareness of compliance risk control of employees. In addition, the state-owned enterprises should also adjust the relevant departments to fully understand and dig deep into the enterprise in the production and operation management process of the potential of various compliance risks, and risk management department to communicate, jointly formulate the corresponding countermeasures, so as to ensure that the compliance risk management department in strict accordance with the rules and regulations to carry out their work.

(C) Improve the qualification system of compliance risk management staff

State-owned enterprises are extremely rich in compliance risk management personnel training. On the one hand, the internal and social resources of the enterprise can be comprehensively analyzed and integrated, and the training of employees in compliance risk management can be increased by continuously strengthening human and financial support. On the other hand, it can establish and improve the relevant talent training mechanism, and continue to provide talent for the enterprise. In addition, all state-owned enterprises should fully utilize the role of experts within the industry, create a qualification system for compliance risk control staff, synthesize the theoretical knowledge, practical ability and employment experience of compliance risk control, issue qualification certificates to those who satisfy the above requirements, and then screen the qualified personnel to select those who are excellent in all aspects and build them into a high-quality professional compliance risk control team. The relevant government departments in China should also issue qualification certificates for the personnel who meet the above requirements. In addition, the relevant government departments in China should also carry out comprehensive improvement and perfection of the state-owned enterprise legal adviser system, in order to strengthen the state-owned enterprise compliance risk identification and control work of multi-channel introduction of legal advisers, to promote the state-owned enterprise employee compliance risk control certification work.

(4) Improve the effectiveness of compliance risk management evaluation, and establish a monitoring mechanism

(5) Regular compliance risk education, clear compliance risk management responsibilities

State-owned enterprises should strengthen the degree of importance of compliance education for employees, regardless of business leadership or grassroots employees, must be The company's first step is to make sure that you have a good understanding of how to use the technology and how to make it work. The company's state-owned enterprises should carry out regular training in their daily work, and constantly improve the relevant management system to ensure and implement the compliance risk education work. For key functions and professionals, it is necessary to enhance their awareness of the "system of control, standards of work", and thus significantly improve the level of compliance risk management of state-owned enterprises.

From the point of view of the internal management process, state-owned enterprises should combine the new content of compliance risk management and control and the new goals of enterprise development to optimize the compliance risk prevention and control system, to create a targeted, unique organizational structure and business processes, and fully implement the prevention, control and treatment of the whole process of risk management. In terms of compliance risk control responsibility content, state-owned enterprises can carry out the improvement of internal management content, the new operator responsibility management measures, regular maintenance and other content, the compliance risk control responsibility is subdivided, specific to the department, the post, the staff, and ultimately to achieve the goal of enhancing the responsibility of the staff.

(F) Strengthen the construction of compliance management law

In recent years, China's relevant departments continue to strengthen the supervision of compliance management of state-owned enterprises, with the introduction of intellectual property rights policy, anti-commercial bribery policy, deepening the reform of compliance management of state-owned enterprises in China, strict control of compliance risk gate, standardize the major enterprises' business operations, greatly reducing the occurrence of corporate violations. At the same time, to strengthen the construction of compliance management law, some poorly run enterprises to provide certain legal support, improve China's business market environment, based on laws and regulations to promote the long-term development of society, to create a honest and trustworthy social atmosphere, while conveying to the community the spirit of the enterprise contract and comply with the law of order, to enhance the level of business ethics of the social market.

3. Conclusion

In terms of the management of state-owned enterprises, compliance management plays a role that cannot be ignored, and its importance is obvious. It can not only make the enterprise in the development process to maximize the avoidance of risk, to solve a variety of unexpected problems, but also play a role in promoting the development of enterprises, and constantly meet the needs of enterprise operation and management. At the same time, at this stage in part of China's enterprise management, the awareness of legal compliance management has become a constituent element of enterprise culture, highlighting the necessity and advanced degree of legal compliance management, is the inevitable requirements of enterprise development and management, guiding the development direction of China's state-owned enterprises, and has a long-term impact on the top-level design and strategic development of the enterprise, which can comprehensively improve the quality of management and the management efficiency of the enterprise in the process of economic development. Management efficiency. Based on this management model, state-owned enterprises can make rapid and steady progress in the development process, and achieve a favorable position in the market competition, which can not only accelerate the process of enterprise reform, but also provide a solid foundation for enterprise development.

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