行政管理风险管理.pptVIP

Administrative Controls/ Risk Management行政管理/风险管理 Federal Reserve System Administrative Controls行政管理 Human Resources 人力资源: Internal Controls 内部控制 Code of Ethics 道德规范 Posted and read by employees 事先张贴并让员工了解 Signed by employee 员工签署 Risk Management 风险管理: Relationship between Insurance and Risk Management 保险与风险管理的关系 Minimum Code of Ethics基本道德规范 Formally written and acknowledged 正式书面文件并得到公认 Employee can understand the expectations of the bank 员工了解银行的期望 Safeguarding confidential information 保护机密信息 Restrictions on outside activities 外部活动限制 Financial responsibility 支付能力 Prompt payment of obligations 债务的立即付款 Level of debt to proposed salary 债务与工资水平比 Minimum Code of Ethics基本道德规范 Acceptance of Gifts 接受礼品 Conflicts of Interest 利益冲突 Financial 财务方面 Dealing with customers or vendors, etc.处理与客户、卖者等的关系 Drug Policy Penalties for Non-compliance 违规处罚 Human Resources - Internal Control Issues人力资源：内部控制问题 Hiring and Pre-employment Screening 招聘与录用前审查 Training 培训 Detailed Job Descriptions 详细的岗位说明 Employee Performance and Evaluation 员工绩效考核与测评 Pre-Employment Screening录用前审查 Evaluate the risk inherent in the position and check accordingly 评估岗位的内在风险，并进行相应审查 Verify references prior employers 向推荐人和前用人单位进行核实 Fingerprint Checks 指纹检查 Verify credit history 调查信用记录 Verify expatriate visas on management 调查以前是否曾被开除 Training培训 Are employees adequately trained and cross-trained? 员工是否受到充分培训和并进行交叉培训？ Do they understand their job function? And backup function? 员工是否了解其工作职能？以及辅助职能？ Is training provided to enhance knowledge? 培训是否提高了员工的知识水平？ Personnel Records人事记录 Detailed Job Description 详细的职位描述 Performance Reports 业绩报告 Stated Vacation Policy 明确的休假政策 Written Personnel Policies 书面的人事政策 Code of Ethics Received and Signed by all Employees 所有员工认可并签名的道德规范 Risk Insurance Management风险与保险管理 Defenses against loss 预防损失 Internal Controls 内部控制 Policies Procedures 方针与程序 Emergency Preparedness 应急准备 Contingency Planning 应急规划 Records Management 记录管理 Risk Identification A