农商银行关于案件防控自我评估报告

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1、农商银行关于案件防控自我评估报告按照河套农商银行案件防控工作自我评估实施细则（巴农商银发201458号）要求，我支行高度重视，认真组织学习，按照河套农商银行案件防控工作自我评估实施细则中各项评估指标和要求，对2013年案件工作作出认真全面系统的自我评估制定如下方案。一、成立支行自我评估小组为确保此项工作扎实有序开展，我支行特成立案件防控排查工作自我评估小组：组长：龚长裕副组长：陈龙杰成员：蔺向宇张少博王晓娜二、具体排查范围及措施按照总行制定合规及案防教育规划和重点业务培训计划及方案，同时建立配套的培训考核机制，并与员工岗位、待遇等进行考核，定期培训一线员工案防合规引导员工培养良好的职业操守；在

2、案件风险防范问题有效地堵截新案，挖掘初旧案、杜绝隐患。（一）重点岗位人员的排查。我支行重点排查会计岗、储蓄岗、信贷岗，以及其他重要岗位。主要排查是否参与民间融资、非法集资、民间高利贷等活动；是否存在经商办企的情况；是否存在涉赌、涉毒情况。（二）案件风险防控培训。根据总行案件防控制度定期对我支行全体员工就国家有关金融政策法规、内部制度和监管要求进行专题培训；对重要业务和新开办业务岗位的新员工开展法律法规、专业知识和业务技能培训；定期组织和开展案件风险防控培训。（三）案件风险防控制度修订情况。针对支行内部案件风险防控制度是否健全；进行定期对现有制度进行梳理；对于无章可循或制度不能适应支行业务发展和

3、管理实际的，听取意见和建议及时进行修订完善。（四）违规操作规范情况排查。对存在违规办理存、取、贷款及转账业务现象，按规定进行管理、管制，重点关注柜面业务及柜员操作管理等风险点，主要规范一线临柜人员严格执行综合业务系统操作制度及流程。通过案件防控自我评估完善案件防控工作组织，提高支行内控执行力和问责力度，推动案件防控工作系统化、制度化。进一步摸清案件支行防控工作基本情况和存在的问题，规范员工履职行为，完善内部制度、堵塞风险漏洞，遏制案件风险，有效防范案件发生。在排查过程中我支行能够遵循依法依规、实事求是、权责对等、责任明确、逐级追究等原则进行问责，更好的进行案件防控。*支行C29C91AFE4C

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