我国证券公司合规风险管理存在的问题及对策

合规风险管理是企业全面风险管理的重要组成部分。近几年国内证券公司违法违规事件频发,系统性风险集中显现,与合规管理机制缺失密不可分。文章分析了合规风险管理中存在的问题,并就此提出在健全合规机构和合规队伍、建立全面的风险监控系统、建立完备的合规绩效考核、合规问责、诚信举报制度、开展合规文化教育等方面的相应措施。

Compliance risk management is one of the important components in the overall enterprise risk management. In recent years, with the frequent occurrence of illegal events in the domestic securities companies, systemic risks have appeared in mass, which is inseparable from the missing mechanism of compliance management. This paper analyzes the problems existing in the compliance risk management and then put forward the corresponding measures to improve compliance institutions and compliance talents, build complete risk monitoring system, establish comprehensive compliance performance assessment, compliance accountability, and credit reporting system, and carry out compliance culture education, and so on.