商业银行员工行为管理探析

Analysis on EmployeeActivity and Management in Commercial Banks

首先对银监会印发《银行业金融机构从业人员行为管理指引》的背景与内容进行解析;其次结合审计实务工作中在员工行为管理方面发现的问题简列出目前商业银行员工行为管理存在的不足,运用Logistic模型量化分析方法,对商业银行员工"违规、违纪和违法事件"成因进行探析;最后从完善规章制度、优化管理模式、转变经营理念、创新科技手段、改进问责机制和重塑企业文化6个方面对商业银行员工行为管理提出建议。

First of all,for Employee Business Activity Guideline in Banking Industry and Financial Institutions issued by China Banking Regulatory Commission,the paper explains why it is published and what it is. Secondly,given the audit issues on employee activity and management pattern,the paper briefly lists down the current weakness on business activity management in commercial banks,and explores the root causes of employee noncompliance with disciplines,laws and regulations,through logical model quantitative analysis. Finally,it reaches a conclusion with suggestion on management pattern for commercial bank employees at six items including completing rules and regulations,optimizing management pattern,transforming business vision,innovating technology,improving ownership,and re-building culture.