Compliance Risk Management Of H Bank Shanghai Branch

Compliance management and creating value in commercial banks are just like the source of the river and the water, the former is the foundation, while the latter is the goal. H Bank Shanghai Branch, as a listed bank, has aggressively expanded its business to keep pacing forward in the fiercely competitive environment. However it was found that there were lots of internal operations violating regulations and even financial criminal activities. H Bank Shanghai Branch suffered financial and reputation losses because of the bugs in compliance measures and less emphasis on risk management.This paper has deep study in the actual situations of H Bank Shanghai Branch Compliance institution. The part of cases illustrates a variety of problems and challenges they came across and the remedial measures which have been taken and summarizes the effect of the bank's compliance risk management system. In the case analysis part, the author makes an objective evaluation to compliance risk management program first, starting with the concept of compliance, institutional systems, risk identification, assessment and inspection, etc. Then some feasible advice was given to H Bank Shanghai Branch, such as establishing effective compliance culture, improving compliance management regulations, integrating the inspection and supervision system, and building a sensitive and effective compliance management analysis evaluation system.