Bank Internal Audit Manager in 2010 debriefing report _2095

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Bank Internal Audit Manager in 2010 debriefing report
 
 
2004, is the deepening of the head office of standardized management. Leading the line under the correct leadership, and I, together with the Internal Audit group of people, working closely around the center of the Bank, strictly in terms of total branches and City line leaders on strengthening the internal control work related instructions to guard against risks to plug the loopholes to improve the management level as the purpose, and steadily carry out audit inspections. Accumulated during the year 21 examination of the audit, including routine audit eight, seven comprehensive evaluation of internal control, the outgoing audit 5, a special audit; audit reports and rectification of total questions asked to 111 for the unit being inspected relatively weak management audit recommendations put forward 43; year amounted to 267 days to complete an audit. Chinese papers League finishing.
one, and live-line leaders hope, and be fully audit
Internal Audit Department since its inception in 2002, this year, I line the new leadership of the audit work done more than any previous year's attention. Leading Organizations from the line of division number one person concentrating on audit work and increasing staffing full-time auditors to the revised year-end evaluation of mid-level approach to defining the scope of Internal Audit is not included in the evaluation, to the important task entrusted to the Internal Audit Department, the Internal Audit Department as a branch xx Deepening the standard management and window units in standardized service standards, xx focal points such as branch internal controls and internal control in the Internal Audit Commission offices, many give the auditor full independence, to ensure that auditors threw himself into work and access to high quality of work.
in this year's audit inspection process, the head of the line several times in person at front-line leadership, organizational arrangements audit work, to participate in the exchange of views with the units to be audited, organizations to implement the reform program at all levels of audit and Internal Audit Department's audit collected information and recommended the inclusion of internal control conference speech for emphasis, etc., in charge of auditing the work of leading the line high priority, so we feel there is no reason not to wholeheartedly into their work, there is no reason not to work well; the business units are generally raised the level of awareness of the audit inspection, to seriously and actively cooperate with the audit work on the audit issues raised by the timely rectification, are in place and are generally willing to accept the Internal Audit Department regularly checks.
Second, serious study and deeply understand and improve the effectiveness of audit
focus is close to the bank, head office of internal control during the year related to document issued, the first step I have to seriously study and understand, and with Organization Department of the Bank personnel in the actual content and network with key aspects of relatively weak study and discussion, explain the business aspects of the inspection methods, and guide others to grasp key sectors, a clear direction, and then to improve the efficiency of on-site audit results. For example, in February 2004, the head office issued a the access to the list of outlets widespread bank and reconciliation, reconciliation of funds within the system contacts, leading line of credit issuing process at all levels of impression management, problems in a timely manner to reveal and correct guidance, and its proposed clear rectification requirements, while extended account of proposed substitutions on the hook to pick less than check, and issued by the central bank settlement account management of new ways to strengthen the authenticity of the inspection audit accounts suggested that to ensure the safety of bank and financial accounting of our efforts.
Third, efforts to create a professional team, to create a good working atmosphere
audit staff to improve the policies, operational level, the Ministry repeated contact with the Audit Bureau of Shenyang City, so I line professionals, 19 part-time auditors to participate in all organized by the Audit Bureau of Shenyang's internal audit staff full-time professional training courses, relevant laws and regulations on internal auditing and internal auditing standards of practice to learn the contents of the system, and full adoption of the assessment, access to the state issued by the Institute of Internal Auditors job qualifications, so I line the professional level of internal audit staff has been generally improved.
with the department staff and the double workload increase in the work carried out during 2004 in order to make everyone in a harmonious working environment to demonstrate and develop their business expertise, in this year's audit inspection process, we fully -site audit and audit report writing time, targeted the head office New binding system for the actual compilation of learning content and in-house discussions on relevant issues and exchange of views, and strive to create Neibu more intense atmosphere of learning and business seminars, new employees are familiar with the situation and within a short time into the role of older employees and to add new employees learn the professional advantages, the department full professional complement each other deficiencies are balanced to enhance job skills, teach and learn in-house formed to jointly improve, the natural harmony a good situation.
Fourth, explore new ideas, and promote overall joint
third line of defense this year, we managed to deepen the efforts to standardize the work of the lead organization of activities, in accordance with the head office, In 2004 the implementation of internal control evaluation methods Branch and the Department of City Room on the conventional audit and internal control evaluation; on the part of the work of the outgoing audit personnel changes. Internal Audit Department in view of the internal control
third line of defense, but has mainly taken the way of random checks, so as to ensure the receipt of audit results, the effective exercise of the auditor's job responsibilities, in our daily inspection of the implementation of audit , on one hand at the beginning of the annual audit around the superior line of work arrangements, in close connection with the actual situation xx branch, well-developed implementation of the Department's audit program, and each time before entering the scene, focusing on risk areas,You are not allowed to view links. Register or Login, planned access to audit information on the development list, as much as possible so that checks for the more extensive coverage to avoid the left corner. On the other hand, in the audit report, check out the problems one by one against the proposed rectification requirements, and will be clearly described in the relevant systems and regulations, the line at the grassroots level to more direct grasp of the relevant operational rules, the acceptance of a more convincing and timely audit opinion rectification, so that not only ensure the rectification of the actual audit results, but also in the promotion of internal control to play a regulatory role in the first line of defense made a good attempt.
audit work for the further expansion, in the daily audit and inspection work, we closely focus on the theme Deepening the standard management, close attention to regulatory policy changes and grasp of industry dynamics, management of business outlets for relatively weak and easy to overlook the risk areas audit recommendations made, and with the provisions of the revised system, the relevant management given emphasis and tips, while the work of research and explore new ideas, through the adoption of the inspection and related information feedback to the relevant administrative departments and offices, and with the reach consensus approach to enhancing horizontal exchange of information, thus to enable the business functions of management supervision of more targeted, fill some of the regulatory vacuum, and promote the linkage of the second line of defense.
example, this year the first outlets in the regular audits we found that the system is only limited to transactions reconciled reconciliation of the balance of the amount of the check occurred there oversight. We raise corrective requirements, in addition to the balance of the daily check, must be the amount of substitutions occur individually checked, and feedback in this regard to the Finance Department, Finance Department in time for the network to make the corresponding provisions; after the Other outlets for inspection, the checklist also found to retain only ten days, in accordance with the relevant provisions of the head office accounting records management, we also proposed a list of matching records management approach according to long-term storage, Everywhere we have made the request, the proposed unified print and save the 312 money transactions to flow (a summary of the contents of) the text, the preparation of reconciliation and signature verification certificate substitutions, this approach has also been recognized by Finance Department, and has been implemented.
another example, the inspection took place we found some branch loan interest receivable not included in the table, The understanding is due in August 2003 when the credit system, on-line migration, because of the 14,101 subjects without balance, it did not operate as a transitional treatment, resulting in a loan occurs after the interest receivable can not automatically enter the system accounting, financial statements will can not completely reflect the situation of the bank assets. As soon as we Beijiandanwei timely contact with the Finance Department and the Ministry of Science, discussion of practical ways to make up for flaws, has been co-related departments, so the problem can be solved.
important check empty teller outlets certificate management, I learned that books canceled due to manual adjustment, the teller important to register a blank certificate has been canceled, the daily print business end of the network alone, check the balance of the number of substitutions, but ignored the important gaps in the teller did not use the certificate for any checked. We make recommendations in time, suggesting that the network will not only print the daily Check the registration of the relevant good, clear responsibility of people to avoid the neglect of important gaps in the actual use of the inspection certificate check and at risk.
Last year, I made the Ministry of the network by examining the accounting staff for checking the authenticity of loans to seal the leadership at all levels of credit business line vacancies problems impression issuing process, led the line has been attached great importance to the coordination of the line leading The following issues have been resolved. Check this year found that due to job changes, and some are no longer applicable impression and add a new impression issuing process, and part of the credit business outlets sign an impression of failure to register the business scope of the types of details, opening date, the date of cancellation , update is not timely, impression management is in chaos, not easy to check the accounting staff to make loans and notes the link to potential risks account. In view of this situation, we recommend to the Finance Department business outlets reflect coordination with the credit management department, responsible at all levels to update the signature credit the account die, but also requires the accounting officer under scrutiny impression of the scope, risk-averse .
2003 年 9 月 1 start implementation of the compliance, verification of authenticity of the information to open an account; while the head office in the Department in a timely manner indicative proposal for the business outlets of the work should pay sufficient attention to timely follow-up inspection to ensure that account for the truthfulness, integrity and legitimacy.
five, global services, and promote standardization of window units xx branch service process, actively cooperate with the City Bank and trade union organizations of various major events
2004 year, we always remember the overall purpose of the work service and reasonable division of labor, coordination of operations , although there are fewer, but all strive to help arrange for special forces work.
line leadership in accordance with the deployment, in conjunction with the Office of the window control unit head office issued a standardized service standards, to take full action, and each tour visit, held a special meeting, control checks, etc., to supervise the implementation of the rectification of business units, leaving any corner. Solid and effective work in exchange for promising results, this year the head office of my line of flight inspection team carried out the inspection and acceptance work, we are full, accompanied the process, and coordinate points to detect deviations that I row All were seized six model units and standard units, are passed inspection and acceptance and standardization of service work to a new level.
division according to the department, from the overall situation, sent with the Bank to carry out a number of large-scale activities:
First, from the beginning of efforts to implement development activities for planning, organizing control checks, and timely communication with the higher authorities to report on progress in stages, to end all head office branch xx acceptance acceptance to make a good bedding. Second, in accordance with the Banking Bureau
unified plan, the Bank co-ordinating body, positive efforts.
Third, active participation, planning, organizing major events in line: line of the sixth anniversary celebration, staff games, mid-level development training, financial system, football, front-line staff grade computer test in English, staff development and staff dv photography exhibition and so on around the business development branch of the work carried out for the center has played a positive role in promoting employees on the active leisure and cultural life, and enhance the promotion of team spirit played a good role. Fourth, a number of
do part-time jobs. Our department has two part-time four trade union work, the ministry checks the task of the heavier pressure, the strong support of all other part-time work, union work files built this year (including, pictures, multimedia files), the purchase of the necessary equipment, for the next year to carry out a variety of public activities to lay a solid foundation for leadership
Fifth, work by line, using nearly a month of time to complete the compilation xx branch system.
sixth is the lead organization unified branch of the Bank staff to participate in organized internal knowledge test, hold the line in the semi-finals by the way, the selection branch of the highest scores attend the final, three-person team selected branches of individual results obtained first place in the top three good results and groups.
past work history, over time, the audit work was supported by a broader understanding and support of our department and the Bank of the sector is increasingly coordinated and complement each other, which made me feel happy and encouraged, but also to I feel great responsibility. In future work, I will work harder, with a good group of people the Internal Audit Department, show consideration for the overall, due diligence, down to earth, all my best.

2005,1,9